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DWI DETECTION AND STANDARDIZED FIELD SOBRIETY TESTING

TRAINING GOALS AND OBJECTIVES 1. Ultimate Goal

To increase deterrence of DWI violations, and thereby reduce the number ofcrashes, deaths and injuries caused by impaired drivers.

2. Job Performance Objectives

As a result of this training, students will become significantly better able to:

a. Recognize and interpret evidence of DWI violations.

b. Administer and interpret standardized field sobriety tests.

c. Describe DWI evidence clearly and convincingly in written reports andverbal testimony.

3. Enabling Objectives

In pursuit of the job performance objectives, students will be able to:

a. Describe the tasks and decisions of DWI detection.

b. Recognize the magnitude and scope of DWI-related crashes, injuries,deaths, property loss and other social aspects of the DWI problem.

c. Discuss the deterrence effects of DWI enforcement.

d. Discuss the DWI enforcement legal environment.

e. Know and recognize typical vehicle maneuvers and human indicators

symptomatic of DWI that are associated with initial observation ofvehicles in operation.

f. Know and recognize typical reinforcing maneuvers and indicators that

come to light during the stopping sequence.

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g. Know and recognize typical sensory and other clues of alcoholimpairment that may be discerned during face-to-face contact withDWI suspects.

h. Know and recognize typical behavioral clues of alcohol impairment that may be discerned during the suspect's exit from the vehicle.

i. Describe the role and relevance of psychophysical testing in pre-arrest

screening of DWI suspects.

j. Describe the role and relevance of preliminary breath testing inpre-arrest screening of DWI suspects.

k. Know and carry out appropriate administrative procedures for

validated divided attention psychophysical tests. l. Know and carry out appropriate administrative procedures for the

horizontal gaze nystagmus test.

m. Know and recognize typical clues of alcohol impairment that may bediscerned during administration of standardized field sobriety tests.

n. Describe the factors that may affect the accuracy of preliminary breath

testing devices. o. Describe the elements of DWI prosecution and their relevance to DWI

arrest reporting. p. Choose appropriate descriptive terms to convey relevant observations

of DWI evidence. q. Write clear, descriptive narrative DWI arrest reports.

4. Additional Training Goals and Objectives

a. If the four-hour (Introduction to Drugs That Impair) or eight-hour(Drugs That Impair Driving) modules are presented as part of theSFST training program, the goals and objectives for those modules arelisted in the appropriate manuals.

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DWI DETECTION AND STANDARDIZED FIELD SOBRIETY TESTING

ADMINISTRATOR'S GUIDE

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PREFACE

The Administrator's Guide provides an introduction and overview of the DWIDetection and Standardized Field Sobriety Testing (SFST) Training Program. Theacronym "DWI" means driving while impaired and is synonymous with theacronym "DUI", driving under the influence." These terms refer to any and alloffenses involving the operation of vehicles by persons under the influence of alcoholand/or other drugs. However, the focus of this curriculum is on the alcohol-impaired driver.

The procedures outlined in this manual describe how the standardizedfield sobriety tests (SFSTs) are to be administered under ideal conditions. We recognize that the SFSTs will not always be administered under idealconditions in the field, because such conditions will not always exist. Evenwhen administered under less than ideal conditions, they will serve asuseful indicators of impairment. Slight variations from the ideal, i.e., theinability to find a perfectly smooth surface at roadside, may have someaffect on the evidentiary weight given to the results. However, this doesnot necessarily make the SFSTs invalid.

Enforcement of alcohol impaired driving is a complex and demanding lawenforcement responsibility sufficient to warrant a separate curriculum. This is notto deny or minimize the importance of detecting and arresting drivers impaired bydrugs other than alcohol. Indeed, other materials (as referenced in this document)are available from the National Highway Traffic Safety Administration (NHTSA) toimprove police officers' skills in detecting and apprehending drug impaireddrivers.

In this regard NHTSA has developed two modules that address drug impaireddriving:

o "Introduction to Drugs That Impair" a four-hour overview of drugsother than alcohol that impair.

o "Drugs That Impair Driving" an eight-hour module that providesofficers with information on the general observable signs of drugimpaired drivers. This module was developed to increase officerawareness of signs of drug impairment and the need to make referralsto Drug Recognition Experts.

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Either module is an excellent add-on or follow-up to the DWI Detection andStandardized Field Sobriety Testing training program. Both are highlyrecommended. HOWEVER, NEITHER WILL QUALIFY AN OFFICER TOSERVE AS A DRUG RECOGNITION EXPERT (DRE).

All of the aforementioned impaired driving courses have been approved by theInternational Association of Chiefs of Police (IACP). National standards have beenestablished by IACP to ensure consistency in the content, delivery, and applicationof the SFST and drug impaired training. The SFST standards are provided in thisAdministrator's Guide (see Appendix B).

For more information regarding these impaired driver detection programs, contactyour State Office of Highway Safety or your NHTSA Regional Training Coordinator(See Appendices E and F).

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TABLE OF CONTENTS

A. Purpose of This Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

B. Overview of the Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11. For whom is the training intended? . . . . . . . . . . . . . . . . . . . . . . . . . . . 12. What are the purposes of the training? . . . . . . . . . . . . . . . . . . . . . . . . 23. What will the participants get out of the training? . . . . . . . . . . . . . . . 34. What subject matter does the course cover? . . . . . . . . . . . . . . . . . . . . . 45. What activities take place during the training? . . . . . . . . . . . . . . . . . . 46. How long does the training take? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67. How flexible is the course? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78. How flexible are the Standardized Field Sobriety Tests? . . . . . . . . . . 8

C. Overview of the Curriculum Package . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81. Instructor's Lesson Plans Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82. Visual Aids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103. DWI Detection and Standardized Field Sobriety Testing Student

Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

D. General Administrative Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111. Facility Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112. Instructor Qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123. Class Size Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

E. Guidelines for Controlled Drinking Practice Sessions . . . . . . . . . . . . . . . . . 131. Criteria to consider when selecting volunteer drinkers . . . . . . . . . . . 132. Managing the Volunteer Drinkers . . . . . . . . . . . . . . . . . . . . . . . . . . . 133. Guidelines for achieving target BACs . . . . . . . . . . . . . . . . . . . . . . . . 14

F. Course Administrative Planning and Preparation Requirements . . . . . . . . 15

G. Standards for Course Completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151. The Written Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152. Assessing Student Proficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

H. Student Critiques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

I. SFST Field Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

J. Requests for Information, Assistance or Materials . . . . . . . . . . . . . . . . . . . 17

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APPENDICES

A. Synopsis of the SFST Curriculum

B. IACP National Standards for the Standardized Field Sobriety Testing Program

C. NPSRI Technical Report “The Use of Video in Training for Standardized FieldSobriety Tests (SFST)” - Summary

D. CDRom Refresher Training for the Standardized Field Sobriety Tests

E. State Offices of Highway Safety

F. NHTSA Regional Training OfficesNOTE: Regional Training Coordinators are located in each Regional Office.

G. Administrator’s Evaluation

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A. Purpose of This Document

The Administrator's Guide is intended to facilitate planning and implementation ofthe DWI Detection and Standardized Field Sobriety Testing Course. The corecourse consists of 16 sessions with two "live" alcohol workshops.

The Guide outlines acceptable options to the "core" training procedures (see "HowFlexible Is The Course?", Item 7, page 7). It overviews the sequence of instruction,documents the materials and the teaching aides that make up the instructionalpackage, describes course administrative requirements, and provides guidelines fordischarging those requirements satisfactorily. The Guide sets forth the fundamen-tal tasks that make up the job of DWI enforcement, and identifies knowledge, skillsand attitudes police officers need to perform those tasks well. The Guide alsooutlines the preparatory work that must be accomplished (primarily at thedepartmental or academy level) before the course can be conducted, and outlines thefollow-up work that should be undertaken, subsequent to training, to ensure thatthe desired outcomes of the training are realized.

B. Overview of the Course

1. For whom is the training intended?

Participants should be any officers responsible for DWI enforcement who willactually use all aspects of the training, especially the three standardized fieldsobriety tests - horizontal gaze nystagmus, walk-and-turn and one-leg stand. Officers selected to attend this training should be aware of the hazards causedby impaired drivers, are motivated to arrest those drivers and their dutyassignments enable them to spend the time required to process DWI offenderswill benefit substantially from this course.

Some law enforcement agencies have concluded that the subject-matter shouldbe offered only to officers who have amassed substantial on-the-job experiencein detecting and arresting impaired drivers. Other agencies have advancedequally strong arguments to support the position that the training isappropriate for recruit-level officers. Either assessment is left up to theindividual agencies using this curriculum. However, all user agencies shouldnote that the ability to maintain the skills learned in this course will rapidlydiminish if they are not reinforced by frequent "street" application andoccasional in-service training. This is not to imply that this training is socomplex or confusing that it can only be mastered by exceptionally skilledofficers. The techniques of DWI Detection and use of the Standardized FieldSobriety tests can readily be grasped by anyone of average competence,provided they are willing to devote the appropriate time and effort to study andpractice.

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2. What are the purposes of the training?

The fundamental purpose of this training course is to foster DWI deterrence,i.e., to dissuade people from driving while impaired by increasing the odds thatthey will be arrested and convicted. This course is based on the assumptionthat a principal reason for enforcing DWI laws is to deter those who mightotherwise be tempted to break the law. If potential DWI violators believe thatthere is a real risk of being caught, it is reasonable to believe most will refrainfrom driving while impaired.

Police officers can't possibly detect and arrest all DWI violators. Not all who arearrested will be convicted and punished. However, officers can improve theskills that increase the chances of detecting, arresting, recording, andarticulating gathering sufficient evidence to sustain a conviction.

The training is based on the premise that officers perform two fundamentaltasks which affect the likelihood of apprehending and convicting impaireddrivers. The first of those tasks is Detection. In this course, "detection" isdefined as "the entire process of identifying and gathering evidence to deter-mine whether a suspect should be arrested for DWI". DWI detection beginswhen an officer’s attention is drawn to a particular vehicle or its operator. Theprecipitating events are unlimited. The initial "spark" that causes the officer tofocus attention on the particular vehicle may carry with it an immediate, strongsuspicion of the possibility of impairment; or, only a slight suspicion of thepossibility of impairment; or, depending on the circumstances, no suspicion atall at that time. Regardless, it sets in motion a process in which the officerfocuses on the particular individual and has the opportunity to observe andelicit additional evidence.

The detection process ends only when the officer formulates the decision eitherto arrest or not arrest the individual for DWI. That decision, is based on all ofthe accumulated evidence. Effective DWI enforcers do not leap immediately tothe arrest/no arrest decision. Rather, they proceed carefully through a series ofintermediate decisions, each of which can elicit evidence. The course clearlyoutlines each decision step.

Successful DWI detectors are those officers who know what to look and listenfor, who have the skills to ask the right questions and to choose and use theright tests. They are highly motivated and apply their knowledge and skillwhenever they contact someone who may be under the influence. In this waythey tend to make more DWI arrests and gather the best possible evidence tosupport their charges.

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The second basic task of effective DWI enforcement is Description. Just as de-tection is the process of collecting evidence, description is the process of articu-lating evidence. Successful description demands the ability to verbally conveyevidence clearly and convincingly. The officer's challenge is to communicateobservational evidence to people who weren't there to see, hear or smell theevidence themselves. The officer's tools are words. These words make up thewritten report and verbal testimony which the officer uses to “paint a wordpicture” when communicating with the prosecutor, the judge, the members ofthe jury, and the defense attorney. This skill allows these people to develop asharp mental image that allows them to “see,” “hear,” and “smell” the evidence. Successful DWI describers have the verbal skills needed to use descriptivewords and phrases to communicate their evidence clearly and convincingly.

This training will help officers become more skillful at detection anddescription, make more DWI arrests, and obtain more convictions. Theseactions will lead to greater DWI deterrence through less impaired driving andfewer crashes, injuries and deaths.

3. What will the participants get out of the training?

Participants will learn to: recognize driving behaviors and other indicatorscom-monly exhibited by impaired drivers; become better detectors and betterdescribers by improving their knowledge, attitudes and skills in detecting theimpaired driver and articulating their observations; develop a better under-standing of the tasks and decisions involved in the DWI detection process;recognize the magnitude and scope of DWI-related crashes, injuries, deaths andproperty loss, and other social aspects of the DWI problem; understand thedeterrent effects of DWI enforcement; have a better understanding of the legalenvironment relevant to DWI enforcement and use of the three standardizedfield sobriety tests (SFST); know and recognize typical clues of alcohol impair-ment that may be detected during face-to-face contact with DWI suspects; knowand perform the appropriate administrative procedures for the dividedattention psychophysical tests; know and perform appropriate administrativeprocedures for the horizontal gaze nystagmus test; know and recognize typicalclues of alcohol impairment that may be seen during administration of theSFSTs; un-derstand the DWI prosecution requirements and their relevance toDWI arrest reporting.

4. What subject matter does the course cover?

The course presents a substantial body of information relevant to the entireDWI detection process, including the organization, presentation andarticulation of the evidence gleaned from that process. It also presentssupportive information to bolster the participants’' awareness of the importanceof effective DWI enforcement.

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Key elements of the subject matter include:

o The involvement of impaired driving in traffic crashes, deaths and injuries,both nationally and within the participants’' state(s).

o The concept of general deterrence of DWI, and evidence of the effectiveness

of deterrence in reducing impaired driving.

o Laws governing DWI and its enforcement within the participants’' state(s).

o The concept of detection as a three-phased process, with specific evidence-gathering and decision-making tasks in each phase.

o The kinds of evidence of alcohol impairment typically associated with each

phase of detection.

o Concepts and principles of divided attention (psychophysical) testing.

o Concepts and principles of Horizontal Gaze Nystagmus (HGN) testing.

o Guidelines for processing suspects arrested for DWI, preparing arrestreports and delivering testimony in DWI trials.

5. What activities take place during the training?

The principal activity of this course is hands-on practice by the participants. Ina variety of ways, they spend approximately three-quarters of the total trainingtime actually doing various elements of the detection and description tasks. They observe video-taped presentations of vehicles and operators and gatherevidence of impairment. They form decisions, i.e., to stop suspected impaireddrivers, to request them to exit their vehicles, to administer standardized fieldsobriety tests, and to decide to arrest or not arrest them. They write narrativeand other reports to document that evidence. They organize and testify to theevidence they have observed. Most significantly, they practice -- again andagain -- administering and interpreting the standardized field sobriety tests.

Even though significant time is spent in lectures and demonstrations byinstructors, the participants are active participants, never passive listeners.

Among the most important learning activities of the course are the following:

o Video-taped presentations of vehicles and operators exhibiting indicators

associated with the various phases of DWI detection. Participants view thetapes, then identifies and records the clues of possible impairment.

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o Brief "testimony" sessions are conducted where selected participantsattempt to give clear, convincing verbal descriptions of the clues observed inthe video presentations.

o "Dry run" practice in administering standardized field sobriety tests.

Participants work in small groups, taking turns administering HorizontalGaze Nystagmus, Walk-and-Turn, and One-Leg Stand to each other.

o "Controlled drinking" practice(s), in which participants administer thestandardized field sobriety tests to volunteers (not members of the class)who have consumed various amounts of alcohol. Participants also practiceobserving, recording and interpreting test results during these sessions.

o NHTSA/IACP approved video tapes of the three standardized field sobrietytests being performed by volunteer drinkers are available for options oneand two only. These tapes allow participants to practice observing,interpreting and recording the tests.

NOTE: The IACP strongly believes that conducting live alcoholworkshops is the optimal way of achieving the learning objectivesof this training.

o Report writing exercise, in which participants view a video tape of a

simulated DWI detection/arrest sequence and prepare a detailed narrativereport.

o Moot court, in which selected participants "testify", based on the contents of

their narrative reports.

o Written tests, in which participants demonstrate their knowledge of thecontent subject matter.

o A field sobriety proficiency examination, in which participants demonstrate

their ability to administer Horizontal Gaze Nystagmus, Walk-and-Turn andOne-Leg Stand tests.

6. How long does the training take?

The core curriculum consists of 16 sessions that span 22 hours, 45 minutes ofinstruction, excluding breaks. With additional brief breaks and meal periods,the course requires three full training "days". There is no need to conduct thetraining for three consecutive days, nor to adhere to a traditional 8:00am -5:00pm class day schedule. For example:

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o There may be reasons to spread the course over a five-day period or conductsome sessions at night.

o A five-day sequence, with an average of four-to-five hours' instruction eachday, will afford the participants more independent study time and a betteropportunity to assimilate the information presented.

o Scheduling the "controlled drinking" practice sessions at night makes it

easier to recruit volunteer drinkers. Also, it allows participants to practiceadministering the standardized field sobriety tests under more realisticcircumstances (most impaired driving arrests occur at night). If weatherpermits, these practice sessions can be held outdoors to enhance realism.

o Evening and nighttime training sessions are less susceptible to

interruption. A court appearance could cause a student to be absent from adaytime class for several hours. Such absences cannot be tolerated in thiscourse: there is simply no way that a student can achieve the trainingobjectives if several hours of instruction or practice are missed. SESSIONSMISSED DURING EXCUSED ABSENCES MUST BE MADE UP.

The sequence and duration of the 16 session are listed below.Session Title DurationI Introduction and Overview 30 Minutes

II Detection and General Deterrence 50 Minutes

III The Legal Environment 70 Minutes

IV Overview of Detection, Note Taking and Testimony 50 Minutes

V Phase One: Vehicle In Motion 90 Minutes

VI Phase Two: Personal Contact 90 Minutes

VII Phase Three: Pre-Arrest Screening 40 Minutes

VIII Concepts & Principles of the Standardized Field Sobriety Tests 200 Minutes

IX Test Battery Demonstrations 40 Minutes

X “Dry Run” Practice 50 Minutes

XI “Testing Subjects” Practice: First Session 120 Minutes

XII Processing the Arrested Subject and Preparing for Trial 90 Minutes

XIII Report Writing Exercise and Moot Court 90 Minutes

XIV “Testing Subjects” Practice: Second Session 120 Minutes

XV Review and Examinations 110 Minutes

XVI Program Conclusion 50 Minutes

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o Officers trained in the NHTSA/IACP-approved SFST curricula, prior tothe below revision date, remain qualified to administer and interpretthe SFSTs based on their previous training.

7. How flexible is the course?

All of the training objectives are considered appropriate and essential for policeofficers who wish to become proficient at detecting evidence of DWI and at de-scribing that evidence in written reports and verbal testimony. All of thesubject matter is considered necessary to achieve those objectives. All of thelearning activities are needed to ensure that the participants master the subjectmatter.

This curriculum normally takes about 24 hours to teach. To be recognized byIACP, regardless of hours, the student must have met all of the listed learninggoals and performance objectives included in each of the 16 sessions.

This course is "flexible" in that it can easily be expanded since it does not coverall dimensions of DWI enforcement. For example, NHTSA has developed twomodules addressing impairment by drugs other than alcohol. One module isapproximately 4 hours in duration, the other module is approximately 8 hours. Both modules are designed to be completely compatible with this course and areexcellent additions to the training whether taught independently or as an add-on.

In recognizing the limitation some agencies have in conducting live alcoholworkshop, NHTSA sponsored research involving the use of video-tapes as analternative training procedure (NOTE: See Attachment C). As a result of thisresearch, NHTSA/IACP will now allow two options to the core curriculum:

OPTION ONE: To substitute NHTSA/IACP approved video tapes of "dosed"subjects for the first alcohol workshop (See Session XI-A) but to conduct thesecond alcohol workshop "live" as indicated in Session XIV.

OPTION TWO: To substitute NHTSA/IACP approved video tapes of "dosed"subjects for both live alcohol workshops (See Sessions XI-A and XIV-A).

It is critical to note that the purpose of this training is to ensure thatparticipants become proficient in administering and interpreting thestandardized field sobriety tests. Therefore, if either option one or two isselected, each student must maintain a log of every SFST administered.

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Note: During training, the Standardized Field Sobriety Tests (SFST) must beadministered each time exactly as outlined in this course. For field conditions,refer to page 1 of the Preface.

C. Overview of the Curriculum Package

In addition to this Administrator's Guide, the curriculum package for the DWIDetection and Standardized Field Sobriety Testing course consists of the followingdocuments and materials:

o Instructor's Lesson Plans Manual o Visual Aids o Student Manual

1. Instructor's Lesson Plans Manual

The Instructor's Lesson Plans Manual is a complete and detailed blue print ofwhat the course covers and of how it is to be taught. It is organized into sixteenmodules, each corresponding to one of the course's sessions.

Each module consists of a cover page, an outline page, the lesson plans, andmaster (paper) copies of the visual aids ("slides") referenced in the lesson plans.

The cover page presents the session's title and the total instructional timerequired to complete the session.

The cover page presents the session's title and the total instructional timerequired to complete the session.

The outline page lists the specific learning objectives of the session, i.e., whatthe participants will be able to do once they have successfully completed thesession's learning activities. The outline page also lists the session's majorcontent segments and the principal types of learning activities that take placeduring the session.

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The lesson plans themselves are arranged in a three-column format.

o The left column contains the training aides, i.e., time frames, visualaides, questions to be asked, etc.

o The center column contains the "Content", i.e., an outline of what is tobe taught.

o The right column contains "Instructor Notes". They provide guidanceconcerning how the content is to be taught. The "Instructor Notes"specify, for example, how the instructor is to present the material,involve the participants in the presentation, oversee their practice andensure that they assimilate the material.

Typical entries on the "Instructor Notes" pages cover:

o The approximate amount of time to be devoted to each major contentsegment;

o Points requiring special emphasis;

o Specifications and procedures for the hands-on practice opportunities;

o Personal notes.

The Instructor's Lesson Plans Manual serves, as a means of preparing theinstructor to teach the course. Every instructor should review the entire set oflesson plans to become familiar with the content and learning activities anddevelop a clear understanding of how the course "fits together". Instructors areexpected to become thoroughly familiar with every session they are assigned toteach, to prepare acetate copies of the overhead transparencies ("slides"), toassemble all "props" and other instructional equipment referenced in the lessonplans, and to augment the "instructional notes" as necessary to ensure thatindividual teaching styles and experiences are applied to the content andlearning activities.

The Instructor's Lesson Plans Manual serves as an in-class reference documentfor helping to maintain the sequence and pace of presentations and otherlearning activities. However, the information contained in the outlines are notto be read verbatim to the participants.

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2. Visual Aids

Four kinds of audio-visual aids are employed in this course.

o Wallcharts o Dry-erase board/flip-chart presentations o "Slides" (PowerPoint slides)o Computer-generated presentations o Video tapes

The wallcharts are permanently-displayed items. They consist of sketches withbrief captions intended to depict major themes and segments of the course. Wallcharts can be handmade, using colored marker pens, on flip-chart sheets.

The sketches and text must be large enough so that they may be viewed fromany seat in the classroom.

Master (paper) copies of the recommended wall charts are included in theInstructor's Lesson Plans Manual. Those masters may be photocopied ontoacetate to produce overhead transparencies. The transparencies, in turn, can beprojected onto flip-chart sheets and traced with colored markers to produce thewallcharts themselves.

The dry-erase board/flip-chart presentations, as outlined in the lesson plans, areself-explanatory.

The "slides" or are simple graphic and/or narrative displays that emphasize keypoints and support the instructor's presentation. Paper copies of all "slides"referenced in the lesson plans are found in each module of the Instructor'sLesson Plans Manual. The instructor should supplement the slides with locallyprepared materials wherever appropriate.

The computer-generated presentations include PowerPoint or other similarprograms.

Video tape presentations are provided and referenced in the instructor lessonplans. For example, a 10-minute presentation entitled "Visual Detection ofDWI", and a 12-minute video entitled "The Detection of DWI Motorcyclists" areused in Session V.

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Other video presentations consist of brief encounters with impaired motorists.These segments cover vehicle in motion observations, face-to-face contacts, andstandardized field sobriety testing. Each video taped contact provides theparticipants an opportunity to practice recognizing and documentingobservational evidence of DWI. Subsequent to each contact, selectedparticipants are called upon to practice "testifying" about their observations.

The remainder of the video-tape presentations are classroom lectures-and-demonstrations covering the three standardized field sobriety tests and theNHTSA/IACP approved video-tapes used as options to the controlled drinkingworkshops in Sessions XI-A and XIV-A. The video-tapes may also serve as areview for graduates of the course.

3. DWI Detection and Standardized Field Sobriety Testing Student Manual

The DWI Detection and Standardized Field Sobriety Testing Student Manualserves as a reference source for the course. It provides a set of summary noteson the topical contents of each session.

The Student's Manual is intended to be used during the entire 16 sessions.

D. General Administrative Requirements

1. Facility Requirements

The presentation/demonstration sessions of the DWI Detection and Standard-ized Field Sobriety Testing course require a classroom with ample table/deskspace for each student; an overhead projector and screen; a video tape playerand one or more monitors easily visible to all participants; and, a dry-eraseboard and/or flip-chart. The classroom must have sufficient open space topermit realistic and clearly visible demonstrations of the standardized fieldsobriety tests. If possible, the participants’' tables/desks should be arranged ina U-shaped format, so that the instructors can conduct their demonstration inthe open space in the center.

The hands-on practice sessions and the proficiency examinations requireadditional space consisting of a large open area (free of any obstructions such astables, chairs, etc.) in which teams of participants can work without interferingwith each other. It must be possible to mark straight lines 12 to 15 feet long onthe floor to facilitate practicing the Walk-and-Turn test (i.e., strips of easilyremovable tape). If weather permits, these practice sessions can be heldoutdoors to enhance realism.

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The live "Testing Subjects" Practice Sessions (XI and XIV) require a separateroom for the volunteer drinkers and use of one or more accurate breath testinginstruments devices for monitoring their blood alcohol concentrations (BACs).

2. Instructor Qualifications

SFST instructors MUST have successfully completed the NHTSA/IACPapproved Standardized Field Sobriety Testing (SFST) training program or itsequivalent, and have experience in administering the SFSTs as well asproviding testimony in court in the area of DUI/DWI enforcement. Dedicated,qualified instructors are critical to the continued success of the SFST program.

SFST instructors are responsible for observing, evaluating and verifying theperformance of SFST candidates throughout the training process. Therefore,only persons experienced in the administration of the SFST battery shouldbecome instructors in the SFST training program.

If additional instructors are needed, at least one should be experienced inconducting an alcohol workshop. A ratio of at least one instructor for every 6participants is recommended. Their responsibilities include coachingparticipants during the various hands-on practice sessions, and conducting theproficiency examinations during Session XV. All instructors must be fullyproficient in administering the standardized field sobriety tests. It also may bebeneficial to recruit an experienced DWI prosecutor to assist in conductingcertain segments in Session III, The Legal Environment, Session XII,Processing the Arrested Subject and Preparing for Trial, and Session XIII,Report Writing Exercise and Moot Court.

It is preferred that instructors for the four-hour "Introduction to Drugs ThatImpair" module be Drug Recognition Experts. The instructors for the eight-hour module "Drugs That Impair Driving" must be DRE instructors or SFSTinstructors who are certified DREs.

3. Class Size Considerations

This course is a highly participative learning experience. Participants need tohave ample opportunities to practice applying the skills they are trying to learn;(i.e., observing, testifying, reporting and administration of the standardizedfield sobriety tests). Participants need substantial individual attention duringpractice sessions.

The recommended maximum class size is 24 participants. An ideal range wouldbe 15-21.

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E. Guidelines for Controlled Drinking Practice Sessions

The SFST core curriculum requires the participation of volunteers who willconsume carefully measured quantities of alcohol and submit to standardized fieldsobriety tests administered by the participants. Drinking volunteers are anessential resource for the core curriculum. Therefore, careful steps must be takento ensure the volunteers' safety as well as their contribution to a worthwhilelearning experience.

NOTE: WEAPONS ARE NOT PERMITTED IN THE VICINITY OF ANYDRINKING VOLUNTEER.

1. Criteria to be considered when selecting volunteer drinkers:

o They cannot be members of the class.

o THEY SHOULD NOT BE LAW ENFORCEMENT OFFICERS.

o They must be verified to be at least 21 years old, but not over 65 years old.

o They cannot have any history of alcoholism.

o They cannot be known to suffer from any medical condition that may beexacerbated by alcohol (such as hypertension or diabetes).

o They cannot be taking any medication (prescription or otherwise) that

might adversely interact with alcohol.

o They should be in good physical health.

2. Managing the Volunteer Drinkers

Transportation must be provided for the volunteers to and from the trainingsession. Under no circumstances may volunteers be permitted to drive from thetraining session, regardless of their blood alcohol concentration (BAC) at thetime of departure. Volunteers should be released only into the custody ofresponsible, sober persons.

It is suggested that there be a minimum of one drinking volunteer for everythree to five participants.

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From the time of their arrival until safely disposed of, volunteers must be keptunder constant supervision. It is suggested that at least one monitor be presentfor every four volunteers. Volunteer must be paired with a monitor of the samesex. The aides must monitor the volunteers, serve their drinks, make sure theycomply with the schedule, and kept under close observation.

THE EFFECTIVENESS OF THE VOLUNTEERS AS TRAININGRESOURCES DEPENDS ON THEIR BLOOD ALCOHOLCONCENTRATIONS. IDEALLY, VOLUNTEERS AT ANY SESSIONSHOULD ACHIEVE PEAK BACS BETWEEN 0.06 AND 0.14.

Volunteers should be instructed to refrain from eating two hours prior to theirarrival at the training facility. Food in their stomachs may affect theabsorption of alcohol into their bloodstreams, and impede your ability to controltheir BACs.

Volunteers should be brought to the training facility a minimum of three hoursbefore the practice session is scheduled to begin. Each volunteer should bebreath tested, have their pulse, blood pressure, and HGN checked and recorded.

NOTE: Additional time may be needed for administrative procedures.

3. Guidelines for achieving target BACs.

The table below indicates the ounces of 80-proof distilled alcoholic beverage thatvolunteers should consume, in relation to their weight and the "target" peakBAC, during a three (3) hour interval.

Weight (Pounds) MEN WOMEN

110 5 4120 6 5130 6 5140 7 5150 7 6160 8 6170 8 7180 9 7190 9 7200 10 8210 10 8220 10 8

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230 11 9 240 11 9 250 12 10

It is suggested that volunteers consume half of the total allocated amount ofalcoholic beverage during the first hour. They should refrain from drinking orsmoking prior to any breath test.

NOTE: A volunteer may cease drinking at any time. F. Course Administrative Planning and Preparation Requirements

Course administrative planning and preparation tasks are to:

1. Select officers whom you expect to devote substantial amounts of time to DWIenforcement.

2. Identify the learning objectives that are appropriate for your participants.

3. Tailor the instructional material, as appropriate, to conform to your learningobjectives.

4. Select instructors and assign them to teach specific sessions of the course. Review the lesson plans and visual aids with the instructors. Give themsufficient time to prepare.

5. Prepare the instructional facilities by arranging the classroom seating format.

Secure the necessary audio visual equipment and materials.

6. If the core curriculum or option one (1) is selected, recruit volunteer drinkers. Arrange for their supervision and transportation and secure the necessarysupplies needed for the alcohol workshop(s).

G. Standards for Course Completion

In order to successfully complete this course of instruction, participants must passthe written examination and demonstrate proficiency in administering andinterpreting the standardized field sobriety tests.

1. The Written Examination

A written knowledge examination (post-test) is in the lesson plans for SessionXVI. This test focuses on the administrative and interpretation procedures forthe standardized field sobriety tests. Participants must achieve a grade of 80%to successfully complete this training.

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NOTE: For retesting requirements refer to IACP National Standards, Section 1.4.(Appendix B)

2. Assessing Student Proficiency

Instructors must decide whether individual participants are proficient with thestandardized field sobriety tests. This is accomplished by the following:

o The lesson plans for Session XV (Review and Examinations) set forth a

procedure for testing each student's ability to administer the threestandardized field sobriety tests properly. "Passing" this test requires thatthe participants administer the complete test battery at least once, in aninstructor's presence, without deleting or erroneously performing any of thecritical administrative elements of the tests.

H. Student Critiques

A student Critique Form is provided to document their ratings of course contentand activities at the conclusion of the training. Evaluation of these critiques by theinstructors and course coordinator is critical for maintaining a high degree ofachievement in learning and delivery. The form is divided into eight parts:

o Training Objectives o Workshop Sessions and Quality of Instruction o Course Design o Topic Deletions o Topic Additions o Overall Course Rating o Quality of Instruction o Final Comments or Suggestions

I. SFST Field Evaluations

The DWI enforcement performance of officers completing this training should bemonitored and evaluated on a regular basis (e.g. every six months). Thisassessment should examine such factors as:

o The number of DWI arrests recorded by the graduate. o The average BAC of those arrests. o The percentage of arrests resulting in DWI conviction.

This information should help document the utility of the course, identify officerswho may need refresher training, and secure continuing command-level support forthe training.

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IACP and NHTSA strongly recommend that officers document all administrationsof standardized field sobriety tests. At a minimum, this documentation shallinclude subject's name, date, results of each test, the officer's classification ofsubject's BAC and measured BAC, if available. A sample log is included in SessionVIII.

NOTE: If options utilizing video-taped subjects have been used,maintaining the SFST Field Arrest Log is mandatory and extremelyimportant.

REMINDER: Only the IACP/NHTSA options tapes are approved for theSFST instruction.

J. Requests for Information, Assistance or Materials

Please contact your state's Office of Highway Safety, and/or your NHTSA RegionalTraining Coordinator for help in planning and conducting this training. (SeeAppendices E or F)

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APPENDIX A

SYNOPSIS OF THE SFST CURRICULUMAn Overview of the 16 Sessions

Session I - Introduction and Overview

This session has three Segments: "Welcoming Remarks and Objectives","Administrative Details", and "Pretest".

Give a brief welcome and introduction. Briefly describe your credentials forproviding SFST training and carefully state the goals and objectives of the course. This is a preparation step, focused in the cognitive domain of learning. Duringthis segment have the participants introduce themselves and print their namesclearly on name tentcards, so that you will be able to call on them by name.

Next, you must attend to some essential "housekeeping duties", e.g., by notifyingparticipants of the schedule that will be followed, pointing out the locations of restrooms, lunch rooms, etc.

The final segment is an evaluation step in the cognitive domain. You will haveyour participants complete a 10-question pre-test that will allow you to assess howmuch they already know about DWI Detection and the SFSTs.

Session II - Detection and General Deterrence

This session has five Segments: "The DWI Problem", “Physiology of Alcohol”,"Concept of General Deterrence", "Relating Detection to Deterrence Potential", and,"Evidence of Effective Detection and Effective Deterrence". In most of thesesegments, you will present and discuss with your participants some statisticalinforma-tion, which involves the affective domain, or attitudes. The secondsegment, Physiology of Alcohol, is a presentation step in the cognitive domain. Itgives participants a brief overview of the nature and affects of alcohol. In thissession you will help your participants reach some very important conclusions atthe outcome of the course:

First, they will realize that impaired driving is responsible for the deaths andserious injuries of thousands of people in their own states. They have to believethat it is a serious problem that must be solved.

Second, they have to believe that many of the people who drive while impaired willstop doing that, at least some of the time, if they fear getting caught. Yourparticipants must see that we can create the fear of being caught.

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Finally, they have to believe that this notion of deterrence through fear of arrestreally does work. You can show them evidence that it has worked in the past andyou can show them how to make it work in the future.

This session is an essential preparation step for the remainder of the training. Theparticipants must realize why it is important for them to improve their skills atDWI detection. But if they don't see the value of what you want them to learn, theirlearning efficiency will be low.

Session III - The Legal Environment

This session has five Segments: "Basic DWI Statute", "Implied Consent Law","Illegal Per Se Statute", "Preliminary Breath Testing", and, "Case Law Review".

The entire Session is a presentation step in the cognitive domain. It is designedto satisfy the well-recognized fact that "you can't enforce the law unless you knowthe law". The first four segments cover specific types of legislation that eitherdefine impaired driving offenses or that regulate the enforcement and prosecutionof those offenses. It is the instructor's job to clarify those laws for the participants,so they will understand what they have to prove and how they have to prove itwhen they arrest someone for impaired driving. Because these laws vary from stateto state, you may have to modify the content of the first four segments toensure that the information presented accurately reflects the statutes ofyour participants’' jurisdictions.

The final segment, "Case Law Review" focuses on how courts in various states havetreated horizontal gaze nystagmus. You will need to clarify these decisions for yourparticipants so that they understand how they must introduce HGN evidence toensure its admissibility.

Session IV - Overview of Detection, Note Taking and Testimony

This session is an important preparation-plus-presentation step in thecognitive domain. It has three Segments. In the first segment, "Three Phases ofDetection", you will define an important concept of DWI Detection for yourparticipants. This concept views detection as a continual process of evidencegathering that ends in the arrest decision. The concept forms the basis for nearlyall of the sessions that follow. In the second segment, "DWI Investigation FieldNotes", you will introduce the participants to a standard note taking guide thatthey will use in several subsequent hands-on practice sessions. In the finalsegment, "Courtroom Testimony", you will review requirements and procedures forpresenting observed evidence of DWI violations.

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Session V - Phase One: Vehicle in Motion

This session is the first of several sessions in which you will explain anddemonstrate techniques of detection and testimony, and subsequently coach yourparticipants while they practice using those techniques. Both the cognitive andpsychomotor domains of learning are involved.

Session V has five Segments. The first, "Overview: Tasks and Decisions", is apreparation step that defines what the patrol officer is supposed to do during thefirst phase of DWI Detection. The second segment, "Initial Observation: VisualCues of Vehicle Operation", is a presentation step in which you explain and giveconcrete examples of the most reliable initial indicators of impaired driving. Youwill introduce fundamental concepts of alcohol impairment in this segment, and youwill show two video tapes that portray what research has shown to be the mostcommon visual cues of DWI.

The third segment, "Initial Cues, Recognition and Description", is a coaching andpractice step. Specifically, your participants will watch video segments of vehiclesexhibiting possible indicators of impaired driving, and they will attempt torecognize those indicators and to describe them clearly and convincingly in writtennotes. Following each video segment, you will select a student who will attempt togive a clear and complete verbal description of the observations in a simulatedcourtroom setting.

In the fourth segment, "Typical Reinforcing Cues of the Stopping Sequence", youwill explain and give examples of the kinds of indicators of impairment that may beobserved when an officer signals a driver to stop. This sets the stage for the finalsegment, "Initial and Reinforcing Cues, Recognition and Description". Here again,participants watch video segments of vehicles exhibiting some initial cues of DWI,and subsequently responding to an officer's stop command. The participantsattempt to compile accurate and clearly descriptive notes on their observations ofthe video segments. You choose representative participants to offer verbaldescriptions of the observations.

Session VI - Phase Two: Personal Contact

This session is very similar in structure to Session V. Here again we are involvedwith both the cognitive and psychomotor domains, and we conduct thepreparation, presentation and coaching and practice steps of theteaching-learning process. Our focus now, however, is on the recognition anddescription of clues of impairment that come to light after the suspect's vehicle hascome to a stop and the officer comes into face-to-face contact with the suspect.

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The first of the six segments of Session VI is "Overview: Tasks and Decision". Inthat segment, you set the stage by explaining what it is that the officer is supposedto do during initial personal contact with a possible DWI violator. In the secondsegment, "Typical Investigation Cues of the Driver Interview", you explain and giveexamples of evidence that officers may obtain through their sense of sight, hearingor smell. In the third segment, "Recognition and Description of Investigation Cues",your participants view a video segment that gives an opportunity to practicerecognizing some clues. Subsequently, some members of the class are called uponto "testify" about those observations.

The fourth segment is "Interview/Questioning Techniques". Here, you explain andgive demonstrations of simple procedures for questioning suspects that dividetheir attention, in an effort to elicit additional evidence of impairment.

The fifth segment is "Typical Clues of the Exit Sequence". In this segment, youexplain and give examples of evidence that might be seen or heard when a suspectresponds to an officer's request to exit the vehicle and proceed to roadside. Then,your participants view a brief video that portrays a typical exit sequence, and theypractice recognizing and describing the cues exhibited in that sequence.

The final segment is "Recognition and Description of Initial, Reinforcing andInvestigation Clues". This is an additional coaching and practice segment, inwhich participants view two video segments in order to recognize and describe theevidence portrayed. These videos are somewhat longer than the ones shown earlier,because they depict the initial sight contact with the vehicles, the stop commandand the subsequent stopping sequence, the first face-to-face contact between officerand suspect, the interview of the suspect while still seated in the vehicle, and theexit sequence.

Session VII - Phase Three: Pre-Arrest Screening

This session is a preparation and presentation step in the cognitive andpsychomotor domains. It is in this Session that you first introduce theparticipants to the administrative procedures for the three standardized fieldsobriety tests.

The first segment, "Overview: Tasks and Decisions", is a preparation step, inwhich you explain what officers should do when employing SFSTs and preliminarybreath tests (if applicable) to investigate suspected DWI violators.

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In the second segment, "Divided Attention Tests: Concepts and Examples", youexplain the fundamental concept of divided attention and its relationship toalcohol impairment, and you give several concrete demonstrations of tests thatemploy the concept. The two most important of those demonstrations focus onWalk-and-Turn and One-Leg Stand.

The third segment, "Horizontal Gaze Nystagmus: Concept and Demonstration",and the fourth segment, "Vertical Gaze Nystagmus", constitute the participants'initial exposure to nystagmus. You explain the phenomenon, and relate it toimpairment by alcohol. You give initial demonstrations of administrativeprocedures for HGN. Note this is a very brief introduction to nystagmus theinstructor is only setting the stage for Session VIII.

In the fifth segment, "Advantages and Limitations of Preliminary Breath Testing",you will explain the role of PBTs in the DWI Detection process. While you need todo a thorough job in explaining how PBTs can help officers arrive at appropriatearrest/no arrest decisions, it is important that you do not oversell this technology. PBTs need to be presented in their proper context, i.e., something that can helpcorroborate officers' observations. They must not be viewed by participants as thesole or most important basis for the arrest decision (optional if PBTs are notallowed in your state).

The final segment is "The Arrest Decision". At this time you will briefly review allof the evidentiary concepts covered in Sessions V, VI and VII, and you will stressthe importance of basing the arrest decision on all of the evidence gathered duringall three phases of DWI Detection.

Session VIII - Concepts and Principles of the SFSTs

In this session you fully explain and repeatedly demonstrate the three SFSTs. It isalso at this time that participants begin to practice administering these tests. Allthree domains of learning, knowledge, skills and attitudes, come into play.

The first segment, "Overview: Development and Validity", is a preparation step inthe affective domain. Your goal is to convince your participants that it isworthwhile to learn and use the SFSTs because they have scientific validity, acommodity not shared by any other field sobriety tests.

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The second segment is "Horizontal Gaze Nystagmus (HGN)". Here, you presenteach of the three validated clues of HGN in sequence: Lack of Smooth Pursuit;Distinct and Sustained Nystagmus at Maximum Deviation; and, Onset ofNystagmus prior to 45 Degrees. You demonstrate the proper method of checking foreach of these clues and, monitor brief but productive intervals during which yourparticipants practice checking for each clue. You also explain how to interpret theresults of an HGN test, i.e., to evaluate whether or not a suspect is impaired basedon the HGN clues, and you explain the scientific validity associated with theinterpretation of HGN clues.

The third segment, "Walk-and-Turn", is identical in structure to the precedingsegment. You explain and repeatedly demonstrate the instructional procedures foradministering Walk-and-Turn. You involve participants in these demonstrations,and you coach the participants in properly giving the verbal instructions andphysical demonstrations that must accompany the administration of this test. Youexplain the eight validated clues of impairment for Walk-and-Turn, and you explainhow to interpret those clues in accordance with the findings of the validationresearch. You will set up and monitor practice intervals in which the participantswill administer the Walk-and-Turn.

The fourth segment is "One-Leg Stand". It is structured in much the same way asthe second and third segments. You will explain and demonstrate how One-LegStand is administered. You will explain the four validated clues of impairment forOne-Leg Stand, and you will explain how to interpret those clues in accordance withthe validation research. You will set up and monitor practice intervals duringwhich the participants will practice administering the One-Leg Stand.

In the fifth segment, "Limitations of the Three Tests", you will explain thecircumstances under which each of the SFSTs might not be reliable indicators ofalcohol impairment.

In the final segment, "Taking Field Notes on the SFSTs", you will explain how torecord the observed clues.

Session IX - Test Battery Demonstrations

This session is a presentation step in the psychomotor domain. Here, you willconduct several complete and careful demonstrations of how the three SFSTs areadministered and interpreted. The Session has two Segments. The first is "LiveClassroom Demonstrations". You will conduct two complete demonstrations of thethree tests, using participants as the test "subjects". Then, you will "talk" a studentthrough a complete demonstration, using another student as the "subject".

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The second segment is "Videotape Demonstrations". This videotape demonstratesthe correct administration of the Standardized Field Sobriety Tests.

Session X - "Dry Run" Practice Session

This session is a coaching and practice step in the psychomotor domain. Youwill assign participants to work in teams, taking turns administering the threetests to one another. You will monitor their work, and provide constructivecriticism and commendations, as appropriate.

Session XI and Session XI-A - "Testing Subjects" Practice: First Session

The core curriculum requires a live drinking session. This two-hour session endsthe second day of training. It is a coaching and practice step in the psycho-motor domain. Again, you will assign the participants to work in teams. But,instead of testing each other, they will administer the tests to a group of volunteerdrinkers who are not members of the class and who have been recruitedespecially for this purpose. The participants will carefully record, and interpret, thevolunteers' performance of the tests, and will assess each volunteer's impairment.In the final segment of this Session, "Session Wrap-up", participants will reporttheir assessments of the volunteers, and will be informed of the volunteers' BACs. (Instructions for "dosing" volunteers are in the Administrator's Guide, page 15).

For Options One and Two participants will view the NHTSA/IACP approved videotapes designated for this session. This two hour Session ends the second day oftraining. It is a coaching and practice step in the psychomotor domain. Youwill assign the participants to work in teams. They will practice administration ofthe SFST on another student, view the video tapes, assess the video-taped subjects'impairment, and record their observations. In the final segment of this Session,"Session Wrap-up", participants will report their assessments of the taped subjects,and will be informed of the subjects' BACs.

NOTE: The IACP strongly recommends using the core curriculum.

Session XII - Processing the Arrested Suspect and Preparing for Trial

This session is a presentation step in the cognitive and psychomotor domains. In the first of its five Segments, "The Processing Phase", you will review the tasksofficers are supposed to perform when processing persons arrested for DWI. Sincethese tasks vary somewhat from agency to agency, you may have to modify thecontent of this first segment.

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In the second segment, "Preparing the DWI Offense/Arrest Report: Documentingthe Evidence", you will overview the kind of information officers should include intheir DWI reports. Participants will view a nighttime DWI stop and arrestscenario. They will record their observations on a DWI Investigation Field Notesform. In the third segment, "Narrative DWI Arrest Report", you will present andexplain a model report writing format. The narrative DWI Arrest Report will bebased on the participants DWI Investigation Field Notes Form.

The fourth segment is "Case Preparation and Pretrial Conference". You willexplain the things officers should do in preparing to testify in DWI cases, and youwill emphasize the role of the pretrial conference with the prosecutor in trialpreparation. You will show a video tape of a pretrial conference, and discuss thestrengths and weaknesses of the officer's preparation with your participants.

The final segment is "Guidelines for Direct Testimony". You will present andexplain some "dos and don'ts" of testimony in DWI cases. You will show a videosegment of a prepared officer. You will discuss the officer's performance with yourparticipants.

Session XIII - Report Writing Exercise and Moot Court

This session is a coaching and practice step in the psychomotor domain. In thefirst segment, "Procedures and Assignments", you will inform the participants thatthey will view a video portrayal of a typical DWI detection-to-arrest sequence, andmust then write a narrative report on that sequence, using the model report formatpresented in Session XII. In the second segment, "Report Writing Exercise", youwill show the video and participants will write their reports.

In the final segment, "Moot Court Exercise", two participants will be selected to"testify" about this "arrest" in a Moot Court setting. Please note that theparticipants selected to testify will do so independently of one another, and they willeach be "sequestered" during the other's testimony.

Session XIV and XIV-A - "Testing Subjects" Practice: Second Session

The core curriculum and Option One require this session to contain a live drinkingworkshop. The procedures for this session are identical to Session XI.

For Option Two participants will view the NHTSA/IACP approved video tapesdesignated for this session. The procedures for this option are identical to those inSession XI-A.

NOTE: The IACP strongly recommends using the core curriculum.

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Session XV - Review and Proficiency Examinations

This session is a coaching and practice and evaluation step in thepsychomotor domain. You will select participants to administer the completeSFST battery, they will also explain and interpret the validated clues for each test. You will constructively critique the participants' demonstrations and explanations,as appropriate. Then, you will show a video segment demonstrating the properadministration of a Standardized Field Sobriety Test. Next, you will formally testeach student's ability to administer the three tests properly. Participants maynot receive a certificate of completion of this training until they have"passed" the proficiency examination.

Session XVI - Written Examination and Program Conclusion

This session is an evaluation step in the cognitive and affective domains. Thecognitive evaluation is based on a written examination. The passing grade is 80%. The affective evaluation is based on an anonymous critique form that participantswill complete.

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APPENDIX B

NATIONAL STANDARDS

FOR THE

STANDARDIZED FIELD SOBRIETY TESTING (SFST)

PROGRAM

Presented by

The International Association of Chiefs of Police515 North Washington Street

Alexandria, Virginia 22314703/836-6767

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A product of theInternational Association of Chiefs of Police

Advisory Committee on Highway Safetywith support from the

National Highway Traffic Safety Administration

Issue Date April 7, 1995

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STANDARDS FOR THE STANDARDIZED FIELD SOBRIETY TESTING (SFST)PROGRAM

Executive Summary

Since the mid-1970s, the National Highway Traffic Safety Administration (NHTSA),with the cooperation and assistance of the law enforcement community, has conductedresearch that resulted in the development of a battery of three standardized fieldsobriety tests (horizontal gaze nystagmus, walk-and-turn, and the one leg stand) toassist police officers in detecting impaired drivers. The program, which was previouslytermed Improved Sobriety Testing, was initially developed by the Los Angeles PoliceDepartment and was validated in laboratory and field studies conducted by theSouthern California Research Institute. Training in how to conduct the tests isincluded in the NHTSA course DWI Detection and Standardized Field Sobriety Testing.

In 1986, the Advisory Committee on Highway Safety of the International Association ofChiefs of Police (IACP) passed a resolution which recommended that law enforcementagencies adopt and implement the field sobriety testing training program developed byNHTSA. As the program has grown, it has become apparent that in order to insurecontinued success, nationally accepted standards must be established. Thesestandards, which establish criteria for the selection and training of SFST practitioners, would help insure the continued high level of success of the SFST program. In 1992,the IACP Highway Safety Committee recommended the development of this system ofnationally accepted standards.

In April of 1992, the IACP and NHTSA sponsored a meeting at the headquarters ofIACP in Arlington, Virginia. Persons invited to this meeting included senior SFSTinstructors from several states, curriculum specialists, and training administrators. The participants met in working groups to reach a consensus concerning the manyissues relating to the SFST program and to develop recommended minimum standardsto the IACP Advisory Committee on Highway Safety. The standards were drafted andpresented to the committee for their review at the midyear meeting in June 1992.

The Advisory Committee on Highway Safety, by resolution, adopted the nationalstandards for the SFST Program. The standards were subsequently approved by votingmembership of the IACP.

Presented in this document are standards specifying the requirement for selection andtraining of SFST practitioners and SFST instructors.

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I. STANDARDS FOR TRAINING IN STANDARDIZED FIELD SOBRIETYTESTING

Standards in this section specify the criteria which must be met prior to an individual’scompletion in the Standardized Field Sobriety Testing (SFST) Program. These criteria outlinethe knowledge and skills required to be considered for training, as well as the knowledgerequired for completion of the program.

The current approved curriculum involves a three-day training program. Prior to beginning thetraining program, participants should have an interest in traffic law enforcement with anemphasis on DUI/DWI. During this training, participants are taught to administer andinterpret the results of the SFST battery, including horizontal gaze nystagmus (HGN), walk-and-turn and the one-leg-stand.

Upon completion of this classroom training, the student must pass a comprehensive writtenexamination and successfully complete a proficiency examination witnessed by an SFSTinstructor.

1.1 In order to be considered for training in the SFST, a person shall be employedand under the direct control of a public criminal justice agency or institutioninvolved in providing training services to law enforcement agencies.

Commentary: At the discretion of the agency head or administrator, and with consent ofthe training authority, other persons may audit or observe any or all portions of the SFSTtraining.

1.2 SFST participants shall complete an approved classroom training course whichshall, at a minimum, achieve the learning objectives as stated in the IACP-approvedtraining curriculum.

Commentary: This curriculum normally takes about 24 hours to teach. To berecognized by IACP, regardless of hours, the student must have met all of the listedlearning goals and performance objectives included in each of the 16 sessions.

Because of the differences in the type and level of training for officers in the detection of im-paired substances, agencies should determine the most effective means of providing classroomtraining in SFST. However, in order to maintain the credibility and integrity of the program,agencies that use a training program other than that currently approved by the IACP musthave the alternative curriculum approved by the IACP Advisory Committee on Highway Safetyas meeting the required learning objectives. In addition, the IACP Drug Evaluation andClassification Program Technical Advisory Panel, an advisory arm of the Advisory Committeeon Highway Safety, will be responsible for providing periodic updates and modifications to theIACP-approved training curriculum. Presently, the core SFST training course is 24 hours inlength and includes at least two controlled drinking sessions utilizing volunteer drinkers, (i.e.,“live alcohol workshops”). Acceptable options to the “live” workshops involving the use ofvideotapes have been approved. The acceptable alternatives are (1) to substitute NHTSA/IACPapproved videotapes of “dosed” subjects for the first alcohol workshop, but to conduct the secondalcohol workshop “live”; or (2) to substitute NHTSA/IACP approved videotapes of “dosed”subjects for both alcohol workshops.

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It is critical to note that the purpose of this training is to ensure that participantsbecome proficient in administering and interpreting standardized field sobriety tests. NHTSA and IACP recognize the limitations some agencies have in conducting livealcohol workshops. If either option is selected, each student must maintain a log ofeach SFST administered.

1.3 All SFST candidates shall attend and complete all classroom portions of anapproved SFST curriculum. This shall include satisfactorily completing allassignments and required examinations. Participants shall not be permitted to “testout” of portions of the training nor shall they be permitted to attend only thoseclasses that they have not previously completed.

Commentary: Class sessions missed should be made up at the earliest possible time.

1.4 In order to satisfactorily complete the classroom portion of the training, SFSTcandidates must complete the IACP-approved final examination with a score of notless than eighty percent (80%). Candidates scoring less than 80% on the final may beretested one time under the supervision of an SFST instructor. The retest shall becompleted not less than 15 nor more than 30 days following the completion of theclassroom training.

Commentary: The examination used to retest the candidate shall be an IACP-approvedexamination and shall not have been administered to the candidate previously. If the candidatedoes not achieve a passing score on reexamination, the candidate must retake the classroomportion of the training and pass the final examination.

1.5 Upon completion of training, the candidate must demonstrate the ability toadminister the SFSTs in the approved sequence and appropriately document andinterpret the results.

Commentary: One of the primary factors in the success of the SFST program has been theemphasis upon a standardized approach. The training stresses the importance of a systematic,structured administration of the SFSTs. This includes completing all portions of the fieldsobriety tests in the appropriate sequence.

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II. STANDARDS FOR TRAINING AS INSTRUCTORS IN THE STANDARDIZEDFIELD SOBRIETY TESTING PROGRAM

These instructors will have successfully completed the IACP-approved Standardized FieldSobriety Testing (SFST) training program or its equivalent, and will have experience inadministering the SFSTs and in proving testimony in court in the area of DUI/DWIenforcement. Dedicated, qualified instructors are critical to the continued success of the SFSTprogram.

SFST instructors are responsible for observing, evaluating and verifying their performance ofSFST candidates throughout the training process. Therefore, only persons experienced in theadministration of the SFST battery should become instructors in the SFST training program.

Also addressed in this section are standards for instructors/trainers in the program. Theseindividuals are responsible for training the SFST instructors.

2.1 Only persons who have successfully completed the IACP-approved DUI Detectionand Standardized Field Sobriety Testing training program, or its equivalent, may bedesignated as SFST instructors.

2.2 Any SFST trained person desiring to become an instructor in the SFST Programshall make a written application through and be recommended by their agencies asmeeting all requirements to become instructors.

Commentary: The agency head or SFST coordinator shall verify that a candidateinstructor meets the prerequisites to enter SFST instructor training. Prerequisites may alsoinclude any state, local or agency requirements specified for instructors within the jurisdiction.

2.3 The candidate instructor shall satisfactorily complete the IACP-approved SFSTInstructor School, or an approved equivalent, which shall include both knowledgeand practical examination of candidate instructors. IACP/NHTSA - certified DREinstructors are recognized as SFST instructors and are approved to instruct theSFST program.

Commentary: This requirement does not preclude state or local jurisdictions from placingadditional requirements on persons assigned to teach in local law enforcement programs.

The IACP Highway Safety Committee shall be responsible for reviewing and evaluatingalternative training programs submitted by agencies. Those programs meeting or exceeding theapproved learning objectives for instructor training shall be deemed “equivalent”.

2.4 All training sessions conducted as part of the SFST Program shall be coordinatedby a designated SFST instructor who has previously instructed, to insure properconduct and delivery of the approved curriculum.

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Commentary: To ensure that all training classes are conducted in accordance with thestandards, it is recommended that the instructor coordinating the training have a minimum ofone-year experience as a SFST instructor.

2.5 An instructor trainer (a person who is training instructors) shall havedemonstrated proficiency as an instructor.

2.6 An instructor trainer must be knowledgeable of and have audited the SFSTSchool and the SFST Instructor School, and must be thoroughly familiar with theSFST student and instructor manuals.

Commentary: An instructor must demonstrate evidence of the satisfactory completion ofthe IACP/NHTSA-approved Instructor Development Course or equivalent. Instructor trainersmust be familiar with the approved SFST Training Program and be thoroughly familiar withthe lesson plans for their assigned blocks of instruction.

III. SFST REFRESHER TRAINING

Commentary: To assist agencies administer refresher training, a CDRom refresher coursehas been developed by NHTSA and is available to interested agencies. See Appendix D.

HS 178 R2/06

The Use of Video in Training for

Standardized Field Sobriety Tests (SFST)

A. James McKnight and Elizabeth A. Langston

National Public Services Research Institute8201 Corporate Drive, Suite 220

Landover, MD 20785

September 1993

TECHNICAL REPORT

NHTSA Contract No. DTNH22-92-C-05109

Prepared forU.S. Department of Transportation

National Highway Traffic Safety Administration400 7th Street, S.W.

Washington, D.C. 20590

APPENDIX C

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Technical Report Documentation Page1. Report No. 2. Government Accession No. 3. Recipient’s Catalog No.

4. Title and Subtitle The Use of Video in Training for Standardized Field Sobriety Tests (SFST)

5. Report DateSeptember 1993

6. Performing Organization Code

7. Author(s) A.J. McKnight and E.A. Langston

8. Performing Organization Report No.

9. Performing Organization Name and Address National Public Services Research Institute, 8201 Corporate Drive, Suite 220, Landover, MD 20745

10. Work Unit No. (TRAIS)

11. Contract or Grant No. DTNH22-91-R-05109

12. Sponsoring Agency Name and address National Highway Traffic Safety Administration, 400 Seventh Street, S.W. Washington, D.C. 20590

13. Type of Report and Period Covered Final Report 6/91-9/93

14. Sponsoring Agency Code

15. Supplementary Notes Dr. Richard Compton served as Contracting Officer’s Technical Representative

16. Abstract

The NHTSA training program to certify law enforcement officers in administration ofStandardized Field Sobriety Tests (SFSTs) includes two “workshops” in which trainees administersobriety tests to alcohol-dosed subjects has led to consideration of video as an alternative trainingmethod. A preliminary study showed that Certified SFST examiners scoring videotaped performanceof alcohol-dosed subjects obtained the same results as examiners scoring the subjects directly. Anexperiment was therefore undertaken to compare three alternative methods of conducting trainingduring the workshops: live alcohol-dosed subjects (alcohol), video-recorded performances of alcohol-dosed subjects (video), and a combination of the video and alcohol methods (video/alcohol). A total of133 SFST trainees were randomly assigned to the three training methods. The results disclosedextremely small and statistically nonsignificant differences among the three workshop methods in theproficiency with which trainees administered and scored the SFST with alcohol-dosed subjects in afinal performance test. It was concluded that video provides an acceptable alternative to live dosedsubjects in training law enforcement officers to administer SFSTs.

17. Key Words Alcohol, Drinking and Driving, Sobriety Tests

18. Distribution Statement Available to the public through the National Technical Information Service, Springfield, VA 22161

19. Security Classif. (of this report) Unclassified

20. Security Classif. (of this page) Unclassified

21. No. of Pages 22. Price

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The Role of Video Training

The use of video tapes in Sessions XIA and XIVA is not intended to imply that video can serveas a “substitute” for training with live dosed subjects. However, a combination of practical andmoral obstacles to use of alcohol-dosed subjects in training has threatened to prevent theadministration of SFST courses in many jurisdictions. Here the choice is not between video andalcohol workshops but between video and no instruction at all. The results of this study clearlyresolve that decision.

REMINDER: Only the IACP/NHTSA options tapes are approved for thisinstruction.

The Conclusions of this Study

From the results of this study, the following conclusions may be offered:

1. Videotaped administration of the Standardized Field Sobriety Test (SFST) of alcohol-dosed subjects can be used as an alternative to the use of live alcohol-dosed subjects ineither or both of the current training “workshops” without altering the ability oftrainees to administer or score the test.

2. Current SFST training leads to significant gains in knowledge of administrationprocedures and scoring criteria. However, gains in scoring the Walk-And-Turn andOne-Leg-Stand are minimal owing to the objectivity of the scoring criteria.

3. The only significant differences among approaches to teaching the workshop involvethe direction of trainee scoring errors on the Walk-And-Turn and One-Leg-Stand,where trainees from the video workshop tend to report slightly fewer impairment cluesthan Certified Examiners, while those participating in either or both alcohol workshopstend to report more clues.

REFERENCES

Burns, M.; Moskowitz, H. Final Report on NHTSA Contract No. DOT-HS-8-01999: Methods forEstimating Expected Blood Alcohol Concentration. Washington, DC: NHTSA; 1980.

Burns, M.; Moskowitz, H. (Southern California Research Institute). Prepared for U.S.Department of Transportation, NHTSA: Psychophysical Tests for DWI Arrest. Springfield,VA: National Technical Information Service; 1977 June; DOT HS 802 424. 126.

McKnight, A. J.; Marques, P. R. Estimating alcohol impairment from behavioral cues. Journalof Alcohol Studies. 1991; 52(5): pp 389-397

Russ, N. W.; Geller, E. S. Evaluation of a server intervention program for preventing drunkdriving. Final Report No. DD-3 ed.; Blacksburg, VA: Virginia Polytechnic Institute andState University, Department of Psychology; 1986. 56 pages.

HS 178 R2/06 C-3

Tharp, V.; Burns, M.; Moskowitz, H. Development and field test of psychophysical tests for DWIarrest; 1981; NHTSA Report # DOT-HS-805-864. Available from NTIS, Springfield, VA22151.

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APPENDIX D

CDRom Refresher TrainingFor The Standardized Field Sobriety Tests

In support of SFST training the National Highway Traffic Safety Administration(NHTSA) has developed a self-instructional SFST refresher training course usinginteractive CDRom as the delivery technology.

SFST refresher training can now take place anywhere, anytime, using a desktoppersonal computer or a laptop computer when offsite. This training targets lawenforcement officers at the Federal, state, county and local level who have alreadytaken, and successfully completed, the basic SFST classroom training course.

These individuals will now be able to refresh their skills at:

o recognizing and interpreting evidence of DWI;o administering and interpreting the scientifically validated sobriety tests, ando describing DWI evidence clearly and convincingly.

The refresher training course provides the user with information regarding recent caselaw and research studies conducted. Also, it outlines the availability of advancedtraining in recognizing and understanding the characteristics of drugs that impairdriving.

A separate section of the refresher training course is designated for prosecutors. It isintended to assist them in understanding the concepts and principles of SFST.

To obtain a copy of the SFST CDRom Refresher Training Course, please contact yourState Office of Highway Safety (Appendix E) or your closest NHTSA Regional Office(Appendix F).

HS 178 R2/06 E-1

APPENDIX ESTATE OFFICES OF HIGHWAY SAFETY

AlabamaDept Of Econ & Comm Affairs401 Adams Ave (PO Box 5690)Montgomery, AL 36103-5690(334) 242-5803FAX (334) 242-0712

AlaskaAlaska Hwy Safety Planning

Agency450 Whittier St.Juneau, AK 99811(907) 465-4374FAX (907) 465-5860

ArizonaGov’s Office of Hwy Safety3030 N. Central, Suite 1550Phoenix, AZ 85012(602) 255-3216FAX (602) 255-1265

ArkansasAR State Hwy & Trans. Dept.11300 Baseline RdLittle Rock, AR 72203-2261(501) 569-2648FAX (501) 569-2651

CaliforniaBusiness, Transportation, and

Housing Agency7000 Franklin Blvd., Suite 440Sacramento, CA 95823(916) 262-0990FAX (916) 262-2960

ColoradoDepartment of Transportation4201 E. Arkansas Ave.Denver, CO 80222(303) 757-9440FAX (303) 757-9219

ConnecticutDepartment of TransportationPO Box 3175462800 Berlin TurnpikeNewington, CT 06131-7546(860) 594-2370FAX (860) 594-2374

DelawareOffice of Highway SafetyPublic Safety Bldg, Box 1321Rte. 113 South & Bay RoadDover, DE 19903-1321(302) 739-3295FAX (302) 739-5995

District of ColumbiaDC Dept of Public WorksFrank D. Reeves Center2000 14th St., NW, 7th FloorWashington, DC 20009(202) 671-0492FAX (202) 939-7185

FloridaDepartment of Transportation605 Suwanne Street, MS-53Tallahassee, FL 32399-0450(850) 488-3546FAX (850) 922-2935

GeorgiaGov.’s Office of Hwy. Safety1 Park Tower 34 Peachtree Street, Suite 1600 Atlanta, GA 30303(404) 656-6996FAX (404) 651-9107

HawaiiMotor Vehicle Safety OfficeDepartment of Transportation601 Kamokila Blvd, Room 511Kapolei, HI 96707(808) 692-7650FAX (808) 692-7665

IdahoDepartment of Transportation3311 W. State St.Boise, ID 83707(208) 334-8101FAX (208) 334-3858

IllinoisDepartment of TransportationPO Box 192453215 Executive Park DriveSpringfield, IL 62794-9245(217) 782-4974FAX (217) 782-9159

IndianaGovernor’s Council on Impaired

and Dangerous Driving ISTA Building, Suite 330150 West MarketIndianapolis, IN 46204(317) 232-4220FAX (317) 233-5150

IowaGov. Traffic Safety Bureau307 East Seventh StreetDes Moines, IA 50319-0248(515) 281-3907FAX (515) 281-6190

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KansasBureau of Traffic SafetyThacher Building, 3rd Floor 217 SE 4th Street Topeka, KS 66603(785) 296-3756FAX (785) 291-3010

KentuckyKY State Police Headquarters919 Versailles RoadFrankfort, KY 40601-9980(502) 695-6356FAX (502) 573-1634

LouisianaLA Hwy Safety CommissionPO Box 66336Baton Rouge, LA 70896(225) 925-6991FAX (225) 922-0083

MaineBureau of Highway Safety164 State House Station Augusta, ME 04333(207) 624-8756FAX (207) 624-8768

MarylandOffice of Traffic and Safety 7491 Connelley Drive Hanover, MD 21076(410) 787-4017FAX (410) 787-4082

MassachusettsGov. Highway Safety Bureau10 Park Plaza, Suite 5220Boston, MA 02116-3933(617) 973-8904FAX (617) 973-8917

MichiganOffice of Hwy. Safety Planning4000 Collins RoadPO Box 30633Lansing, MI 48909-8133(517) 336-6477FAX (517) 333-5756

MinnesotaOffice of Traffic Safety444 Cedar Street, Suite 150St. Paul, MN 55101-5150(651) 296-9507FAX (651) 297-4844

MississippiGov.’s Highway Safety Office401 North West St., 8th FloorJackson, MS 39225-3039(601) 359-7880FAX (601) 359-7832

MissouriDivision Of Highway SafetyPO Box 104808Jefferson City, MO 65110(573) 751-4161FAX (573) 634-5977

MontanaDepartment of TransportationPO Box 2010012701 Prospect Ave., Room 109Helena, MT 59620-1001(406) 444-3423FAX (406) 444-7303

NebraskaOffice of Highway SafetyPO Box 94612Lincoln, NE 68509(402) 471-2515FAX (402) 471-3865

NevadaOffice of Traffic SafetyDept. of Motor Vehicles

& Public Safety555 Wright WayCarson City, NV 89711-0099(775) 687-5720FAX (775) 687-5328

New HampshireHighway Safety AgencyPine Inn Plaza117 Manchester StreetConcord, NH 03301(603) 271-2131FAX (603) 271-3790

New JerseyDiv. of Highway Traffic Safety225 East State Street, CN-048Trenton, NJ 08625(609) 633-9300FAX (609) 633-9020

New MexicoTraffic Safety Bureau604 W. San MateoP.O. Box 1149Santa Fe, NM 87504-1149(505) 827-0427FAX (505) 827-0431

New YorkGov. Traffic Safety CommitteeSwan St. Bldg., Empire PlazaAlbany, NY 12228(518) 473-9007FAX (518) 473-6946

North CarolinaGov. Highway Safety Program215 East Lane StreetRaleigh, NC 27601(919) 733-3083FAX (919) 733-0604

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North DakotaDrivers Lic. & Traf. Safety Div.Department of Transportation608 East Boulevard AvenueBismarck, ND 58505-0700(701) 328-2601FAX (701) 328-2435

OhioOffice of Gov. Hwy. Safety Rep.PO Box 1820811970 W. Broad Street (43223)Columbus, OH 43218-2081(614) 466-3250FAX (614) 728-8330

OklahomaOK Highway Safety Office3223 North LincolnOklahoma City, OK 73105(405) 521-3314FAX (405) 524-4906

OregonTransportation Safety Section555 13th Street, NESalem, OR 97310(503) 986-4190FAX (503) 986-4189

PennsylvaniaBureau of Highway Safety and

Traffic Engineering 555 Walnut Street 7th Floor, Forum PlaceHarrisburg, PA 17105-2047(717) 787-7350 or 8069FAX (717) 783-8012

Rhode IslandGov. Office of Highway Safety345 Harris AvenueProvidence, RI 02909(401) 222-3024FAX (401) 222-6038

South CarolinaDepartment of Public Safety5400 Broad River RoadColumbia, SC 29210(803) 896-7896FAX (803) 896-8393

South DakotaOffice of Highway SafetyDept Of Commerce & Reg.118 West Capitol Pierre, SD 57501(605) 773-4493FAX (605) 773-6893

TennesseeGov. Highway Safety ProgramsJames K Polk State Office Bldg505 Deaderick Street, Suite 600Nashville, TN 37243(615) 741-2589FAX (615) 741-9673

TexasDepartment of Transportation125 E. 11th StreetAustin, TX 78701-2483(512) 416-3202FAX (512) 416-3214

UtahHighway Safety OfficeDepartment of Public Safety5263 South 300 West, Suite 202Salt Lake City, UT 84107(801) 293-2481FAX (801) 293-2498

VermontHighway Safety Agency 103 South Main StreetWaterbury, VT 05671-2101(802) 244-1317 FAX (802) 244-4124

VirginiaTransportation Safety ServicesDepartment of Motor VehiclesPO Box 27412Richmond, VA 23269(804) 367-1670FAX (804) 367-6631

WashingtonTraffic Safety Commission1000 South Cherry Street,MS/PD-11Olympia, WA 98504(360) 753-6197FAX (360) 586-6489

West VirginiaDriver ServicesDepartment of Motor VehiclesCapitol Complex Bldg 3 Rm 118Charleston, WV 25317(304) 558-6080 Ext. 13FAX (304) 558-0391

WisconsinBureau Of TransportationHill Farms State Ofc. Bldg #933 4802 Sheboygan AvenuePO Box 7936Madison, WI 53707-7936(608) 266-3048FAX (608) 267-0441

WyomingHighway Safety Program5300 Bishop Blvd., PO Box 1708Cheyenne, WY 82003-9019(307) 777-4450FAX (307) 777-4250

American SamoaOffice of Highway SafetyGovernment of American SamoaPO Box 1086Pago Pago, AS 96799(684) 699-1911 or 2911FAX (684) 699-4224

HS 178 R2/06 E-4

GuamDept. of Public Works, OHS542 N. Marine DriveTamuning, GU 96910(671) 646-3211FAX (671) 646-3733

Commonwealth of TheNorthern Marina IslandsDepartment of Public SafetyOffice of Special ProgramsCommonwealth of No.

Mariana IslandsPO Box 791Civic Center; Susupe VillageSaipan, MP 96950(670) 664-9128FAX (670) 664-9141

Puerto RicoTraffic Safety CommissionBox 41289, Minillas StationSanturce, PR 00940(787) 723-3590FAX (787) 727-0486

Virgin IslandsOffice of Highway SafetyLagoon Street ComplexFredrikstedSt. Croix, VI 00840(340) 776-5820FAX (340) 772-2626

Indian NationsIndian Hwy. Safety ProgramsBureau of Indian AffairsDept. of Interior, Suite 1705505 Marquette Avenue, NWAlbuquerque, NM 87102(505) 248-5053FAX (505) 248-5064

HS 178 R2/06 F-1

APPENDIX F

NHTSA REGIONAL OFFICES

New England RegionVolpe National Trans. Systems Center55 Broadway - Kendall Square - Code 903Cambridge, MA 02142(617) 494-3427FAX (617) 494-3646

Eastern Region222 Mamaroneck Ave, Suite 204White Plains, NY 10605(914) 682-6162FAX (914) 682-6239

Mid Atlantic Region10 South Howard Street, Suite 4000Baltimore, MD 21201 (410) 962-0077FAX (410) 962-2770

Southeast Region Atlanta Federal Center61 Forsyth Street, SW, Suite 17T30Atlanta, GA 30303 (404) 562-3739FAX (404) 562-3763

Great Lakes Region 19900 Governors Drive, Suite 201 Olympia Fields, IL 60461 (708) 503-8822FAX (708) 503-8991

South Central Region and IndianNations 819 Taylor Street Room 8A38Fort Worth, TX 76102-6177(817) 978-3653FAX (817) 978-8339

Central Region PO Box 412515 (Zip 64141)6301 Rockhill Road Rm 100 (Zip 64131)Kansas City, MO (816) 822-7233FAX (816) 822-2069

Rocky Mountain Region 555 Zang Street, Room 430 Denver, CO 80228(303) 969-6917FAX (303) 969-6294

Western Region and PacificTerritories201 Mission Street, Suite 2230San Francisco, CA 94105(415) 744-3089FAX (744-2532

Northwest Region 3140 Jackson Federal Building915 Second AvenueSeattle, WA 98174(206) 220-7640FAX (206) 220-7651

HS 178 R2/06 G-1

APPENDIX GALL MATERIALS ARE MASTERS – COPY AS NEEDED.

ATTENTION: LEAD INSTRUCTOR/COURSE ADMINISTRATOR

In order to assist the National Highway Traffic Safety Administration in the validation ofcourse materials, the Transportation Safety Institute is requesting your feedback. Thepurpose of conducting this evaluation is to determine:

— accuracy and completeness of course materials— adequacy of course material design— utility of course materials— usability of course materials

Course materials are evolving documents which must be updated and refined in detailover the life of the course through a process of review, comment, analysis and revision inorder to meet the training requirements of instructors as well as participants.

The attached questionnaire provides the expert users (lead instructors/courseadministrators) an opportunity to assess the viability of the course materials in relation toits capabilities and constraints. The goal of this questionnaire is to identify and set inmotion actions to resolve course implementation issues as early as possible. The reviewand input that you provide is vital to the success of NHTSA’s training mission.

DIRECTIONS: Fill out the Lead Instructor/Course Administrator Questionnaireat the completion of this course. Use this questionnaire to record your comments aboutthe strengths and weaknesses of the instructional package provided for this course. Please provide detailed answers for each item requiring further explanation. (Use specificexamples when available.) In addition, complete an Instructor Roster and aParticipant Roster (attachments are provided for your convenience) WITHIN 10 DAYSOF CLASS COMPLETION, RETURN BOTH ROSTERS AND QUESTIONNAIRE TO:

TRANSPORTATION SAFETY INSTITUTEHIGHWAY TRAFFIC SAFETY DIVISION DTI-70P.O. BOX 25082OKLAHOMA CITY, OK 73125

If further information is needed, or if you have any questions concerning this evaluationprocess, contact DTI-70, Phone: (405) 954-3112, FAX: (405) 954-8264.

HS 178 R2/06 G-2

INSTRUCTOR ROSTER

Course Name:

Course Date:

Course Location:

Name: ____________________________________ Name: _____________________________

Title: _____________________________________ Title: ______________________________

Organization: _____________________________ Organization: ______________________

___________________________________________ ___________________________________

Mailing Address: ___________________________ Mailing Address: ___________________

______________________________Zip __________ ________________________Zip ________

Phone: ____(______)_________________________ Phone: _____(______)________________

Name: ____________________________________ Name: _____________________________

Title: _____________________________________ Title: ______________________________

Organization: _____________________________ Organization: ______________________

___________________________________________ ___________________________________

Mailing Address: ___________________________ Mailing Address: ___________________

______________________________Zip __________ ________________________Zip ________

Phone: ____(______)_________________________ Phone: _____(______)________________

Name: ____________________________________ Name: _____________________________

Title: _____________________________________ Title: ______________________________

Organization: _____________________________ Organization: ______________________

___________________________________________ ___________________________________

Mailing Address: ___________________________ Mailing Address: ___________________

______________________________Zip __________ ________________________Zip ________

Phone: ____(______)_________________________ Phone: _____(______)________________

(COPY THIS FORM FOR ADDITIONAL NAMES)

HS 178 R2/06 G-3

PARTICIPANT ROSTERCourse Name:Course Date:Course Location:

Name: ____________________________________ Name: _____________________________

Title: _____________________________________ Title: ______________________________

Organization: _____________________________ Organization: ______________________

___________________________________________ ___________________________________

Mailing Address: ___________________________ Mailing Address: ___________________

______________________________Zip __________ ________________________Zip ________

Phone: ____(______)_________________________ Phone: _____(______)________________

Name: ____________________________________ Name: _____________________________

Title: _____________________________________ Title: ______________________________

Organization: _____________________________ Organization: ______________________

___________________________________________ ___________________________________

Mailing Address: ___________________________ Mailing Address: ___________________

______________________________Zip __________ ________________________Zip ________

Phone: ____(______)_________________________ Phone: _____(______)________________

Name: ____________________________________ Name: _____________________________

Title: _____________________________________ Title: ______________________________

Organization: _____________________________ Organization: ______________________

___________________________________________ ___________________________________

Mailing Address: ___________________________ Mailing Address: ___________________

______________________________Zip __________ ________________________Zip ________

Phone: ____(______)_________________________ Phone: _____(______)________________

(COPY THIS FORM FOR ADDITIONAL NAMES)

HS 178 R2/06 G-4

LEAD INSTRUCTOR/COURSE ADMINISTRATOR QUESTIONNAIRE

ACCURACY AND COMPLETENESS

1. The instructor manual and accompanying course materials provide sufficientguidance and information to plan, administer, and teach this course.

Strongly Agree Agree Disagree Strongly Disagree

Comments:

2. The complete list of training aids, devices and equipment needed to support thiscourse are listed in the administrator’s guide.

Strongly Agree Agree Disagree Strongly Disagree

If not, what needs to be added or deleted?

3. The work session directions are explained thoroughly for both instructor andstudent?

Strongly Agree Agree Disagree Strongly Disagree

Suggestions to clarify directions?

4. Are the instructional materials and media:

a. Easy to read and understand? Yes Nob. Easy to use? Yes Noc. Accurate and complete? Yes Nod. Congruent with stated objectives? Yes Noe. Appropriate to skill and knowledge level of course participants? Yes Nof. Clear in purpose, goals, and objectives for both

participants and instructors? YesNo

g. Modern in format and appearance? Yes Noh. Free of extraneous details or distractions? Yes Noi. Un-biased (free of gender, ethnic, or racial bias?) Yes Noj. Relevant to the instruction (does it provide “real world”

highway safety examples?) Yes No

HS 178 R2/06 G-5

4. (Continued) Cite specific examples for any “no” response.

ADAPTABILITY

5. The course material accommodates all learning styles (auditory, visual, tactile,etc.)?

Strongly Agree Agree Disagree Strongly Disagree

Comments:

6. The course material and content are adaptable (some content can be altered insequence, length, or strategy) according to the needs of the sponsoringorganization? NOTE: Some courses which contain technical or legal informationcannot be altered. These courses are excluded from this question. Example: SFST andDEC courses.

Strongly Agree Agree Disagree Strongly Disagree

Comments:

USABILITY

7. The course modules are logically sequenced in a manner that allows ease oflearning.

Strongly Agree Agree Disagree Strongly Disagree

If not, what sequence would you suggest and why?

8. Were there any particular portions of the course material or work sessions thatparticipants perceived as “too difficult”? If so, list and explain.

HS 178 R2/06 G-6

9. This course provides sufficient opportunity for student interaction andparticipation.

Strongly Agree Agree Disagree Strongly Disagree

Comments:

10. The course content allows sufficient work sessions which reinforce the lecturesessions.

Strongly Agree Agree Disagree Strongly Disagree

Comments:

11. The course content is broken into logical learning “chunks” that are easy forparticipants to comprehend and retain.

Strongly Agree Agree Disagree Strongly Disagree

If you disagree, which segments need revision? Why?

12. Were you able to adhere to the pre-determined time estimates? If not, specifywhich segments need more time, which need less, and why.

RELEVANCE

13. The course materials will be used as a future reference and resource tool forparticipants.

Strongly Agree Agree Disagree Strongly Disagree

Which materials do you consider the most useful?

14. Do you believe that additional content segments are needed for this course? If so,please identify and describe how they will benefit this instruction.

HS 178 R2/06 G-7

15. Should any of the content segments of this course be eliminated? If so, which onesand why are they not needed?

16. Does this course provide participants with the skills and knowledge they needed toimprove their job performance? If not, why?

17. What recommendations would you make for improving this course material?

Additional Comments?

HS 178 R2/06

Thirty Minutes

SESSION I

INTRODUCTION AND OVERVIEW

HS 178 R2/06

SESSION I

INTRODUCTION AND OVERVIEW Upon successfully completing this session, the participant will be able to: o State the goals and objectives of the course. o Describe the course schedule and activities. o Demonstrate their pre-training knowledge of course topics.

CONTENT SEGMENTS LEARNING ACTIVITIES A. Welcoming Remarks and Objectives o Instructor-Led Presentations B. Administrative Details o Written Examination C. Pre-Test

Display I-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 I-1

I. INTRODUCTION ANDOVERVIEW

Total Session Time: Approximately 30 minutes

10 Minutes

A. Welcoming Remarks andObjectives

Segment A: 10 minutes

1. Welcome to the DWI Detectionand Standardized Field SobrietyTesting Training Program.

Point out program title on wallchart or dry-erase board.

2. Instructor Introductions

a. Principal instructor (name,relevant background, etc.)

Write names on dry-eraseboard or flipchart.

b. Instructor aides and otherrelevant individuals (names,assignments, etc.)

Display

I-1 and I-1A

3. Program Goals/Objectives

a. Ultimate Goal

Display I-2A and I-2B

b. Overview of the DWIProblem

Display a slide illustratingcurrent crash data relating tothe DWI problem.

I-2B (Local Perspective - Fill inappropriate information)

Display I-3

c. Job Performance Objectives Point out that the success orfailure of the program will bejudged on the basis ofparticipants’ improvements inthese key abilities.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 I-2

7 Minutes

B. Administrative Details

1. Seminar schedule (breaks, etc.)

2. Facilities (rest rooms,lunchroom, etc.)

3. Logistics (travel vouchers, etc.)

4. Reading Assignments in

Student Manual.

5. Refer to Glossary Located AtEnd of Session I

Develop list of readingassignments for each day andprepare a handout. Readingassignment at end of day oneshould cover materials present-ed on day one and day two. Subsequent readingassignments should covermaterial to be presented onfollowing day. Point out thatsessions II - VIII have reviewquestions at the end of eachchapter.

13 Minutes

C. Pretest

1. Purpose of Pre-test - provide abasis for evaluatingparticipants’ knowledge gainduring the seminar.

2. Distribute pre-tests.

3. Collect completed pre-tests.

Allow participantsapproximately 10 minutes tocomplete the pre-test.

NOTE: Redistribute pre-test toparticipants after they aregraded by instructor(s).

ATTACHMENT(S)

ATTACHMENT

HS 178 R2/06 1

GLOSSARY OF TERMS ALVEOLAR BREATH - Breath from the deepest part of the lung. BLOOD ALCOHOL CONCENTRATION (BAC) - The percentage of alcohol in a person'sblood.

BREATH ALCOHOL CONCENTRATION (BrAC) - The percentage of alcohol in a person’sbreath, taken from deep in the lungs.

CLUE - Something that leads to the solution of a problem.

CUE - A reminder or prompting as a signal to do something. A suggestion or a hint. DIVIDED ATTENTION TEST - A test which requires the subject to concentrate on bothmental and physical tasks at the same time. DWI/DUI - The acronym "DWI" means driving while impaired and is synonymouswith the acronym "DUI", driving under the influence or other acronyms used todenote impaired driving. These terms refer to any and all offenses involving theoperation of vehicles by persons under the influence of alcohol and/or other drugs. DWI DETECTION PROCESS - The entire process of identifying and gathering evidence todetermine whether or not a suspect should be arrested for a DWI violation. The DWIdetection process has three phases:

Phase One - Vehicle In Motion Phase Two - Personal Contact Phase Three - Pre-arrest Screening

EVIDENCE - Any means by which some alleged fact that has been submitted toinvestigation may either be established or disproved. Evidence of a DWI violation may beof various types:

a. Physical (or real) evidence: something tangible, visible, or audible. b. Well established facts (judicial notice). c. Demonstrative evidence: demonstrations performed in the courtroom. d. Written matter or documentation. e. Testimony.

FIELD SOBRIETY TEST - Any one of several roadside tests that can be used to determinewhether a suspect is impaired. HORIZONTAL GAZE NYSTAGMUS (HGN) - Involuntary jerking of the eyes, occurring asthe eyes gaze to the side.

HS 178 R2/06 2

ILLEGAL PER SE - Unlawful in and of itself. Used to describe a law which makes it illegalto drive while having a statutorily prohibited Blood Alcohol Concentration. NYSTAGMUS - An involuntary jerking of the eyes.

ONE-LEG STAND (OLS) - A divided attention field sobriety test.

PERSONAL CONTACT - The second phase in the DWI detection process. In this phase theofficer observes and interviews the driver face to face; determines whether to ask the driverto step from the vehicle; and observes the driver's exit and walk from the vehicle. PRE-ARREST SCREENING - The third phase in the DWI detection process. In this phasethe officer administers field sobriety tests to determine whether there is probable cause toarrest the driver for DWI, and administers or arranges for a preliminary breath test. PRELIMINARY BREATH TEST (PBT) - A pre-arrest breath test administered duringinvestigation of a possible DWI violator to obtain an indication of the person's blood alcoholconcentration. PSYCHOPHYSICAL - "Mind/Body." Used to describe field sobriety tests that measure aperson's ability to perform both mental and physical tasks. STANDARDIZED FIELD SOBRIETY TEST BATTERY - A battery of tests, Horizontal GazeNystagmus, Walk-and-Turn, and One-Leg Stand, administered and evaluated in astandardized manner to obtain validated indicators of impairment based on NHTSAresearch. TIDAL BREATH - Breath from the upper part of the lungs and mouth. VEHICLE IN MOTION - The first phase in the DWI detection process. In this phase theofficer observes the vehicle in operation, determines whether to stop the vehicle, andobserves the stopping sequence.

VERTICAL GAZE NYSTAGMUS - An involuntary jerking of the eyes occurring as the eyesare held at maximum elevation.

WALK-AND-TURN (WAT) - A divided attention field sobriety test.

HANDOUT(S)

HS 178 R2/06

50 Minutes

SESSION II

DETECTION AND GENERAL DETERRENCE

HS 178 R2/06

SESSION II DETECTION AND GENERAL DETERRENCE Upon successfully completing this session, the participant will be able to: o Describe the frequency of DWI violations and crashes. o Define General Deterrence. o Describe the Relationship between Detection and General Deterrence. o Describe a brief history of alcohol;

o Identify common alcohol types;

o Describe the physiologic processes of absorption, distribution and eliminationof alcohol in the human body;

CONTENT SEGMENTS LEARNING ACTIVITIES A. The DWI Problem o Instructor-Led Presentations

B. The Concept of General Deterrence o Reading Assignments C. Relating Detection to Deterrence Potential D. Evidence of Effective Detection and

Effective Deterrence E. Physiology of Alcohol

Display II-O (Session Objectives)

Aids Lesson Plan Instructor Notes

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II DETECTION & GENERALDETERRENCE

Total Session Time: Approximately 50 minutes.

10 Minutes

A. The DWI Problem (Local,State and National)

Display II-1

1. Each year, an average of people die in this state's trafficcrashes.

Instructor please note: compute figures for theparticipants' state and/orcommunity from traffic recordsdata. Slide II-1(fill inappropriate information).

Display II-2

2. Here and throughout thenation, alcohol continues to bethe major contributor to trafficfatalities.

a. Prior to 1994, nearly half ofthe drivers who died incrashes had been drinking.

b. In 2002, alcohol-relatedfatalities rose to 17,419,representing 41 percent ofall traffic fatalities.

NHTSA 2002 FARS data.

Ask participants tosuggest reasons whyalcohol related crashesare more likely toresult in death.

Some reasons: o drinking-drivers are more

likely to be taking excessiverisks (speeding, turningabruptly, etc.)

o drinking-drivers may notreact in enough time to slowdown prior to crashing.

o drinking-drivers are lesslikely to use their safetybelts.

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3. DWI violations and crashes arenot simply the work of relativelyfew "problem drinkers" or"problem drug users": manypeople commit DWI, at leastoccasionally.

a. A survey of 9,028 driversacross the country revealedthat 14 percent reportedthey had recently (withinlast 3 months) operated amotor vehicle "while close toor under the influence ofalcohol." Only 2 percent ofthese drivers said they werestopped while driving afterdrinking.

Gallup Survey, September,1991

Display II-3

b. Random survey of driversstopped at all hours duringone week; 12% had beendrinking; 2% had BloodAlcohol Concentration of0.10 or higher.

c. Random surveys of driversstopped during late evening- early morning hours onweekends: approximately10% had Blood AlcoholConcentrations of 0.10 orhigher.

Sources: numerous roadsidesurveys conducted by AlcoholSafety Action Projects.

Display II-4

d. Special study of driversleaving bars between 9 p.m.and 2 a.m., Friday andSaturday nights: one out ofseven had Blood AlcoholConcentration of 0.10 orhigher.

Source: NHTSA Study,Connecticut, 1976. This studyprompted the need forselecting, developing andvalidating future roadsidesobriety tests to be used bypolice officers.

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Display II-5

e. It is conservativelyestimated that the typicalDWI violator commits thatoffense about 80 times peryear.

Display II-6

f. Miscellaneous Alcohol Facts

5 Minutes

B. Concept of GeneralDeterrence

Display II-7

1. General deterrence of DWI isbased on the driving public'sfear of being arrested.

a. If enough violators come tobelieve that there is a goodchance that they will getcaught, some of them (atleast) will stop committingDWI at least some of thetime.

Pose this question toclass: "How do weconvince the public thatthere is a good chance

of being arrested for DWI?" Gently guide the discussion tobring out the fact that anappreciable number of violatorsmust be arrested if others areto believe there is a real riskthat they will be arrested.

Display II-8

b. Unless there is a real risk ofbeing arrested, there willnot be much fear of arrest.

2. Law enforcement must arrestenough violators to convince thepublic that they will get caught,if they continue to drive whileimpaired.

Aids Lesson Plan Instructor Notes

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10 Minutes

C. Relating Detection toDeterrence Potential

1. How much deterrence isenough?

a. Question Number 1: Howmany DWI violators do wehave to arrest in order toconvince an appreciableproportion of them thatthere is a real risk that theywill be arrested?

Pose question #1, andsolicit responses fromrepresentativeparticipants.

b. Question Number 2: Are wepresently arresting enoughviolators in this state toconvince them that there isa real risk of being caught?

Pose question #2, andsolicit responses fromrepresentativeparticipant.

2. Estimates from around thecountry: For every DWI violatorarrested, there are between 500and 2,000 undetected DWIviolations.

a. Question Number 3: If thechances of being arrestedare one in 2,000, do youbelieve that the averageDWI violator will feararrest?

Pose question #3 toclass. Draw ananalogy - compare withattempting to house-

break a puppy by punishing thepuppy only once every 2,000times it "messes" on the carpet.

b. Question Number 4: Why isthe DWI arrest-to-violationratio so low?

Pose question #4 to theclass. Gently guide thediscussion to bring outtwo possibilities:

o DWI violators vastlyoutnumber police officers.

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c. Police officers sometimesfail to recognize and arrest aDWI violator.

o Some officers not welltrained in DWI detection.

Display II-9

d. Ft. Lauderdale (Florida)BAC study (1975): only 22%of traffic violators withBACs between 0.10 and 0.20were arrested for DWI.

Instructor please note: In theFt. Lauderdale study, breathtests were administered totraffic violators by researchstaff members, after policeofficers had completed theirinvestigations of the violators. Officers failed to detect 78% ofthe DWI violators theyinvestigated.

Display II-10

e. Implication: For every DWIviolator actually arrestedthree others are contactedby police officers,face-to-face, but are releasedwithout arrest.

f. Significant improvement inarrest rate could beachieved if officers weremore skilled at DWIdetection.

POINT OUT HERE: THISSTUDY WAS THE REASONFOR NHTSA DEVELOPINGTHIS COURSE.

5 Minutes

D. Evidence of EffectiveDetection and EffectiveDeterrence

1. Several enforcement programshave succeeded in achievingsignificant DWI deterrence.

Display II-11

a. Weekend EnforcementProgram, Stockton,California (late 1970's):

o arrests up 500%. o crashes down 34%.

Summarize Stockton programeffectiveness.

Point out that this level ofdeterrence was achieved withan arrest/violation ratio ofabout 1-in-400.

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o DWI drivers down from9% on road to 6% onroad.

2. This same, or better, degree ofeffectiveness can happen here.

Point out that the keys tosuccess are:

(a) Better training indetection skills.

(b) Willingness to arrestevery DWI violator whois detected.

Solicit participants' questionsconcerning general deterrence.

20 Minutes

E. Physiology of Alcohol

1. A Brief Overview of Alcohol

Display II-12

a. The word "Alcohol" refers toa number of distinct butsimilar chemicals.

(1) Each of the chemicalsthat is called an"alcohol" is composed ofthe three elements,hydrogen, carbon andoxygen.

(2) Each type of "alcohol" isa drug within the scopeof our definition.

Clarification: All "alcohols" arechemicals that impair drivingability.

(3) But only one can betolerated by the humanbody in substantialquantities.

Clarification: Most "alcohols"are highly toxic, and will causeblindness or death if consumedin significant quantities.

Only one is intended for humanconsumption.

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ASK PARTICIPANTS: What are the names ofsome of the chemicalsthat are "alcohols"?

Display II-13

b. Three of the morecommonly-known "alcohols"are Methyl, Ethyl andIsopropyl.

(1) Methyl Alcohol, alsoknown as Methanol, or"wood alcohol".

(2) Ethyl Alcohol, alsoknown as Ethanol, or"beverage alcohol".

EMPHASIZE: Ethanol is theonly kind of alcohol thathumans can tolerate insignificant quantities.

(3) Isopropyl Alcohol, alsoknown as isopro-panol,or "rubbing alcohol".

c. Ethanol is the type ofalcohol on which we willfocus, because it is the onlytype intended for humanconsumption.

Display II-14

(1) Ethanol is the activeingredient in beer, wine,whiskey and otheralcoholic beveragesintended for drinking.

(2) Like all "alcohols",ethanol is composed ofhydrogen, carbon andoxygen.

(3) Chemists use a numberof different symbols torepresent ethanol.

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d. We will use the symbol"ETOH".

Instructor, for yourinformation: The "ET"represents "ethyl", and the"OH" represents an oxygenatom and hydrogen atom,bonded together in what thechemists refer to as the"hydroxy radical". All alcoholshave an hydroxy radical intheir molecules.

e. Ethanol has been around fora long time. People drank itlong before they learned towrite.

Display II-15

f. Ethanol is a naturally-occurring drug. That is, it isproduced in nature througha process calledfermentation.

Selectively reveal the first partof the overhead only.

(1) In fermentation, sporesof yeast, carried by thewind, come in contactwith fruit or grain thathas fallen to the ground.

(2) Sugars in the fruit orgrain chemically reactwith the yeast, andproduce ethanol.

POINT OUT that humansalmost certainly firstencountered ethanol that hadbeen produced accidentally inthis fashion.

g. Today, most fermentationtakes place on purpose,under controlled conditions.

h. Through the process offermentation, we canproduce a beverage thathas, at most, about 14%ethanol.

ASK PARTICIPANTS: "Why can't fermenta-tion produce a higherethanol concentrationthan 14%?"

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(1) When the ethanolconcentration reaches14% yeast dies sofermentation stops.

(2) If we want to have ahigher concentrationethanol beverage, wehave to use another stepin the production.

Reveal the lower part ofOverhead II-15.

i. Distillation is the processused to produce a higherconcentration of ethanol.

(1) In distillation, afermented beverage isheated to the pointwhere the ethanolbegins to boil.

POINT OUT that ethanolstarts to boil at a lowertemperature than does water.

(2) The ethanol vapor iscollected and allowed tocool until it turns backinto a liquid.

(3) By repeating the processof heating the liquid andcollecting and coolingthe vapors, higher andhigher concentrations ofethanol can be produced.

(4) Ethanol beverages thatare produced bydistillation are calleddistilled spirits.

ASK PARTICIPANTSto name some "distilledspirits" (e.g., whiskey;vodka; gin; rum; etc.)

j. Over the centuries in whichpeople have producedethanol, some standard-sized servings of differentbeverages have evolved.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 II-10

Display II-16

(1) Beer is usually served in12-ounce cans or bottles. Since beer averages analcohol concentration offour percent, a can orbottle contains a bit lessthan one-half ounce ofpure ethanol.

Reveal only the "beer" part ofthe overhead.

(2) Wine typically is servedin a four-ounce glass. Atan alcohol concentrationof 12 percent, the glassof wine also has just abit less than one-halfounce of pure ethanol.

Reveal the "wine" part ofOverhead II-16.

(3) Whiskey and otherdistilled spirits aredispensed in a "shot"glass, which usuallycontains one and one-quarter ounces of liquid.

(4) Since whiskey usuallyhas an alcoholconcentration of 40%, a"shot" of whiskey hasexactly one-half ounce ofpure ethanol.

Reveal the "whiskey" part ofOverhead II-16.

POINT OUT that the "proof" ofa distilled spirit is equal totwice the ethanolconcentration.

k. Standard-sized servings ofbeer, wine and whiskey allpack the same "punch".

SOLICIT participantscomments and questions onthis overview of alcohol.

2. Physiologic Processes

Display

II-17

a. Alcohol is the most abuseddrug in the United States.

b. Alcohol is a central nervoussystem depressant:

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(1) It doesn't impair until itgets into the brain.

(2) It can't get into thebrain until it first getsinto the blood.

(3) It can't get into theblood until it first getsinto the body.

c. There are a number of waysin which alcohol can get intothe body.

(1) It can be injected into avein, via hypodermicneedle.

(2) It can be inhaled, i.e.,alcohol fumes can bebrought into the lungs,and some molecules willpass into the blood.

POINT OUT that a personwould have to inhaleconcentrated alcohol fumes fora prolonged period of time inorder to develop a significantblood alcohol concentration.

(3) But the vast majority oftimes that alcohol getsinto the body, it getstheir via drinking.

Display II-18

d. Once the alcohol is in thestomach, it will take tworoutes to get into the blood.

(1) One interesting thingabout alcohol is that it isable to pass directlythrough the stomachwalls.

POINT to that "route ofpassage" on Overhead II-18.

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(2) Under normal condi-tions, about 20% of thealcohol a person drinksgets into the blood bydiffusing through thewalls of the stomach.

(3) But most of the alcoholusually passes throughthe base of the stomachinto the small intestine,from which it passesquickly into the blood.

POINT to that "route ofpassage" on Overhead II-18.

e. Another interesting thingabout alcohol is that it doesnot have to be digestedbefore it can move from thestomach to the smallintestine.

(1) When a person eatsfood, the food mustremain for a time in thestomach.

(2) Acids and enzymes inthe stomach must beginto break down the foodto prepare it to pass tothe lower portion of thegastrointestinal tract.

(3) While the initialdigestive process isunderway, a muscle atthe base of the stomachwill constrict, and shutoff the passage to thesmall intestine.

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(4) That muscle is calledthe pylorus, or pyloricvalve.

POINT to the pylorus onOverhead II-18.

f. Since alcohol doesn't have tobe digested, the pylorus doesnot constrict when alcoholenters the stomach.

(1) If we drink on an emptystomach, the pylorusstays wide open.

(2) The alcohol will passimmediately throughthe base of the stomach,into the small intestine,and quickly move intothe bloodstream.

g. But what will happen ifthere is food in the stomachwhen the person drinksalcohol?

POSE this question tothe class.

(1) Food will cause thepylorus to constrict.

(2) While the pylorus isclosed, nothing willmove from the stomachto the small intestine.

(3) Any alcohol that is inthe stomach will be"trapped" there, alongwith the food.

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(4) The alcohol will not getinto the blood asquickly, and the bloodalcohol concentrationwill not get as high, as ifthe drinking had beendone on an emptystomach.

(5) While the alcohol istrapped in the stomach,the acids and enzymeswill start to react with itand break it down.

(6) By the time the pylorusopens, some of thealcohol will have beenchemically changed, sothere will be lessavailable to get into theblood.

SOLICIT participants'comments and questions aboutthe absorption of alcohol intothe blood.

Display II-19

h. Once alcohol gets into theblood, the blood will carry itto the various tissues andorgans of the body.

Reveal top part of overheadonly.

Now reveal lower part ofOverhead II-19.

(1) Alcohol is attracted towater. The blood willdeposit the alcohol in allthe parts of the bodywhere water is found.

(2) Parts of the body thathave a lot of water willreceive a lot of alcohol.

(3) Parts of the body thathave only a little waterwill receive littlealcohol.

Aids Lesson Plan Instructor Notes

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Display II-20

i. Which parts of the bodyhave a lot of water?

(1) The brain(2) The liver(3) Muscle Tissue(4) The Kidney

POSE this question,and solicit responsesfrom participants. Then, display the first

part of Overhead II-20 (WhichParts ..)

j. Which parts contain verylittle water?

(1) Bones(2) Fatty tissue

POSE this questionand solicit responsesfrom participants. Then, display the

second part of Overhead II-20.

k. The muscle tissue willreceive a relatively highproportion of the alcoholthat a person drinks.

POINT to "muscle tissue" onOverhead II-20.

l. The fatty tissue will receivevery little of the alcohol.

POINT to "fatty tissue" onOverhead II-20.

NOW REVEAL the last part ofOverhead II-20 (The average..)

m. Here is an interesting andsignificant differencebetween men and women: pound-for-pound, theaverage male has muchmore water in his body thanthe average female.

ASK participants tosuggest why thissignificant differenceexists.

(1) The female body hasmore fatty tissue thandoes the male body.

Clarification: the female'sextra fatty tissue serves as a"shock absorber" and thermalinsulator to protect a baby inthe womb.

(2) Pound-for-pound, theaverage female hasmore fat and less musclethan does the averagemale.

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HS 178 R2/06 II-16

(3) Since fatty tissue hasvery little water, theaverage female, pound-for-pound, has lesswater than the averagemale.

(4) This means that theaverage woman hasfewer places in her bodyin which to deposit thealcohol she drinks.

ASK PARTICIPANTS: Suppose a woman anda man who weighexactly the same drink

exactly the same amount ofalcohol under exactly the sameconditions. Who will reach thehigher BAC?

n. The woman's blood alcoholconcentration will be higherthan the man's, because shehas less water in which todistribute the alcohol.

Solicit participants' commentsand questions about thedistribution of alcohol in thebody.

Display II-21

o. As soon as alcohol gets intothe body, the body beginsworking to get rid of it.

Reveal only the top part of theoverhead.

(1) Some alcohol is simplyexpelled directly fromthe body, i.e., on thebreath, in the sweat, inurine, etc.

Reveal the middle part of theoverhead.

(2) Relatively little of thealcohol we drink isdirectly expelled fromthe body.

Clarification: Only about 2-10% of the alcohol we consumeis directly excreted in thebreath, urine, etc.

(3) The body eliminatesmost of the alcohol bychemically breaking itdown.

ASK PARTICIPANTS: What organ in the bodyis primarily responsiblefor chemically breaking

the alcohol down?

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HS 178 R2/06 II-17

Reveal the bottom part of theoverhead.

(4) The liver is primarilyresponsible for breakingdown, or metabolizing,the alcohol.

Instructor, for yourinformation: Some metabolismof alcohol also takes place inother parts of the body,including the brain. But theliver does the vast majority ofthe job.

Display II-22

p. Metabolism of alcoholactually consists of a slow,controlled burning of thealcohol.

Reveal the first "bullet" of theoverhead.

(1) In the burning process,the alcohol combineswith oxygen.

Reveal the second "bullet" ofthe overhead.

(2) The liver has an enzymecalled alcoholdehydrogenase, whichhelps to speed up thereaction of oxygen withthe alcohol.

Clarification: The enzyme doesnot react with the alcohol itself,but simply makes it easier forthe oxygen to react with thealcohol. The technical term forsomething that helps achemical reaction while notitself taking part in thereaction is a catalyst. Alcoholdehydrogenase is a catalyst forthe metabolism of alcohol.

(3) The reaction of alcoholwith oxygen ultimatelyproduces carbon dioxideand water, which can bedirectly expelled fromthe body.

Reveal the third "bullet" of theoverhead.

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HS 178 R2/06 II-18

(4) The speed with whichthe liver burns alcoholvaries from person toperson, and will changefrom time to time forany particular person.

Reveal the final "bullet" of theoverhead.

(5) BUT ON THEAVERAGE: Due tometabolism, a person'sBAC will drop by about0.015 per hour.

POSE this problem tothe class: Suppose aperson reaches a peakBAC of 0.15. How long

will it take for his or her bodyto eliminate all of the alcohol? Answer: ten hours [0.15-(Xhours)(0.015/hour) X = 10]

q. For the average male, aBAC of 0.015 is equal to thealcohol content of about two-thirds of a "standard drink".

(1) i.e., about two-thirds ofa can of beer.

(2) or about two-thirds of aglass of wine, or two-thirds of a shot ofwhiskey.

Note: The term BAC is used inthe manual. However, itshould be understood to refer toeither Blood Alcohol Concen-tration (BAC) or Breath AlcoholConcentration (BrAC)depending on the legalrequirements of thejurisdiction.

r. For the average woman, aBAC of 0.015 is equal to thealcohol content of only one-half of a "standard drink".

(1) So the average male can"burn up" about two-thirds of a drink in anhour.

(2) But the average femalecan only burn up aboutone-half of a drink in anhour.

(3) If an average man

Aids Lesson Plan Instructor Notes

HS 178 R2/06 II-19

drinks a can of beer, itwill take him about anhour and one-half toburn up that alcohol; if awoman does the samething, it will take herabout two hours.

s. How can we speed up themetabolism of alcohol?

POSE this question tothe class.

(1) We can't speed it up.

(2) Drinking coffee won'thelp.

(3) A cold shower won'thelp.

(4) Exercise won't help.

t. The liver takes its timeburning up the alcohol.

3. Dose-Response Relationships

Solicit participants' commentsand questions about theelimination of alcohol from thebody.

Display II-23

a. What does "Blood AlcoholConcentration" mean?

Reveal only the question at thetop of the overhead.

Solicit participants' responses.

(1) Blood alcoholconcentration means thenumber of grams ofalcohol that are found inevery 100 milliliters ofa person's blood.

Reveal the middle part ofOverhead II-23.

(2) A gram is a measure ofweight; it takes almost500 grams to make apound.

Instructor, for yourinformation: It actually takes454 grams to make a pound.

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Example: A 12-ounce can ofbeer has about 350 milliliters.

(3) A milliliter is a measureof volume. It takesabout 500 milliliters tomake a pint.

(4) The so-called "illegallimit" of BAC in allstates is 0.08.

Reveal the bottom part ofOverhead II-23.

(5) If a person has a BAC of0.08, it means there are0.08 grams of pureethanol in every 100milliliters (“percent”) ofhid/her blood.

The term “percent” issometimes informally usedbecause the concentration isdetermined in units of onehundred. However, instead ofbeing a true “percent”, theactual units are measured inmass (grams) of ethanol pervolume (milliliters) of blood.

b. How much alcohol does aperson have to drink toreach a BAC of 0.08?

POSE this question tothe class.

(1) Take an average maleweighing 175 poundsand in reasonably goodphysical shape.

(2) Assume he does hisdrinking on an emptystomach.

(3) It is estimated that aperson would have toconsume four cans ofbeer, four glasses ofwine or four shots of 80-proof whiskey in a fairlyshort period of time toreach a BAC of 0.08.

NOTE: There are numerousphysiological variables that canaffect BAC such as gender,weight, stomach contents,medical/health, metabolic rate,etc.

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(4) Review questions arelocated at end of SessionII (Optional Test).

(5) In terms of pureethanol, that wouldamount to just abouttwo and one-half fluidounces, or about twoshot glasses.

DISPLAY two standard-sizedshot glasses, filled with water.

(6) If one of the shot glasseswas filled with pureethanol and the otherhalf-filled, there wouldbe enough of the drug tobring an average man’sBAC to 0.08.

HOLD up the two shot glasseswhile posing the next question.

(7) So answer this: Does ittake a lot of ethanol toimpair a person, or onlya little?

Solicit participants' responsesto the question.

c. In one respect, it certainlydoesn't take much ethanolto impair: Just two full shotglasses will more than dothe trick for a full-sizedman.

HOLD up the glasses again.

d. BUT COMPARED TOOTHER DRUGS, it takes anenormous quantity ofethanol to causeimpairment.

Physiology of Alcohol ParticipantReview

- Name three different chemicals thatare alcohols.

Methyl, Ethyl and Isopropyl. (or, Methanol, Ethanol andIsopropanol.) (or, WoodAlcohol, Beverage Alcohol, and

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Rubbing Alcohol.)

- Which of these is beverage alcohol,intended for human consumption?

Ethanol is the beveragealcohol, intended for humanconsumption.

- What is the chemical symbol forbeverage alcohol?

The four-letter chemical symbolis ETOH.

- What is the name of the chemicalprocess by which beverage alcohol isproduced naturally?

Fermentation

- What is the name of the processused to produce high-concentrationbeverage alcohol?

Distillation

- Multiple Choice: "Blood alcoholconcentration is the number of of alcohol in every 100 milliliters ofblood."

A. gramsB. milligramsC. nanograms

Correct answer is A, "grams".

- True or False: Pound-for-pound,the average woman contains morewater than does the average man.

The statement is false. Theaverage woman actually has agood deal less water, pound-for-pound, than does the averageman. She is about 55% water,he is about 68%.

- What do we mean by the "proof" ofan alcoholic beverage?

"Proof" means twice theethanol percentage of thebeverage. For example, 80-proof vodka is 40% ethanol.

- Every chemical that is an "alcohol"contains what three elements?

The three elements common toall alcohols are: carbon,hydrogen and oxygen.

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- True or False: Most of the alcoholthat a person drinks is absorbedinto the blood via the smallintestine.

The statement is true. Undernormal conditions, about 80%of the ethanol in the stomachwill pass through the pyloricvalve into the small intestine,from which it will quickly moveinto the bloodstream.

- What is the name of the musclethat controls the passage from thestomach to the lowergastrointestinal tract?

The muscle is called thepylorus, or pyloric valve.

- True or False: Alcohol can passdirectly through the stomach wallsand enter the bloodstream.

The statement is true. Usually, about 20% of theethanol a person drinksdiffuses through the stomachwalls to enter the blood.

- Multiple Choice: Suppose a manand a woman who both weigh 160pounds arrived at a party andstarted to drink at the same time. And suppose that, two hours later,they both have a BAC of 0.10. Chances are ....

A. he had more to drink than shedid.

B. they drank just about the sameamount of alcohol.

C. he had less to drink than shedid.

Correct answer is A, "more".

- In which organ of the body doesmost of the metabolism of thealcohol take place?

The liver is where mostmetabolism takes place.

- What is the name of the enzymethat aids the metabolism of alcohol?

Alcohol dehydrogenase is theenzyme that serves as acatalyst for alcohol'smetabolism in the liver.

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HS 178 R2/06 II-24

- Multiple Choice: Once a personreaches their peak BAC, it will dropat a rate of about per hour.

A. 0.025B. 0.015C. 0.010

Correct answer is B, "0.015"(But remember: This is anaverage value, with widevariations among individuals.)

- True or False: It takes about thirtyminutes for the average 175-poundman to "burn off" the alcohol in one12-ounce can of beer.

The statement is false. Theaverage 175-pound man willneed 90 minutes to metabolizethe alcohol.

HS 178 R2/06 II-25

TEST YOUR KNOWLEDGE INSTRUCTIONS: Complete the following sentences. 1. The average DWI violator commits that violation times a year. 2. In typical enforcement jurisdictions one DWI violation in results in arrest. 3. In the Fort Lauderdale study, police officers arrested percent of the drivers

they contacted whose BACs were .10 to .20.

4. Name three different chemicals that are alcohols. Which of these is beveragealcohol, intended for human consumption? What is the chemical symbol forbeverage alcohol?

5. What is the name of the chemical process by which beverage alcohol isproduced naturally? What is the name of the process used to produce high-concentration beverage alcohol?

6. Multiple Choice: "Blood alcohol concentration is the number of ofalcohol in every 100 milliliters of blood."

A. gramsB. milligramsC. nanograms

7. True or False: Pound-for-pound, the average woman contains more water thandoes the average man.

8. What do we mean by the "proof" of an alcoholic beverage?

9. Every chemical that is an "alcohol" contains what three elements?

10. True or False: Most of the alcohol that a person drinks is absorbed into theblood via the small intestine.

11. What is the name of the muscle that controls the passage from the stomach tothe lower gastrointestinal tract?

12. True or False: Alcohol can pass directly through the stomach walls and enterthe bloodstream.

HS 178 R2/06 II-26

13. Multiple Choice: Suppose a man and a woman who both weigh 160 poundsarrived at a party and started to drink at the same time. And suppose that,two hours later, they both have a BAC of 0.10. Chances are ....

A. he had more to drink than she did.B. they drank just about the same amount of alcohol.C. he had less to drink than she did.

14. In which organ of the body does most of the metabolism of the alcohol takeplace?

15. What is the name of the enzyme that aids the metabolism of alcohol?

16. Multiple Choice: Once a person reaches his or her peak BAC, it will drop at arate of about per hour.

A. 0.025B. 0.015C. 0.010

17. True or False: It takes about thirty minutes for the average 175-pound man to"burn off" the alcohol in one 12-ounce can of beer.

HS 178 R2/06

One Hour and Ten Minutes

SESSION III

THE LEGAL ENVIRONMENT

HS 178 R2/06

SESSION III THE LEGAL ENVIRONMENT Upon successfully completing this session, the participant will be able to: o State and discuss the elements of DWI offenses. o Discuss the provisions of the implied consent law. o Discuss the relevance of chemical test evidence. o Discuss precedents established through case law. CONTENT SEGMENTS LEARNING ACTIVITIES A. Basic DWI Statute: Driving While

Under The Influence o Instructor-Led Presentation B. Implied Consent Law and Presumptions o Reading Assignments C. Illegal Per Se Statute: Driving With

A Proscribed Blood Alcohol Concentration D. Preliminary Breath Testing E. Case Law Review

Display III-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-1

70 Minutes

III LEGAL ENVIRONMENT (Time varies with thecomplexity and variation ofyour state's laws relating todrinking-driving and DWIenforcement).

INSTRUCTOR PLEASENOTE: The lesson plans forthis module are based on ageneric set of drinking-driving laws, patternedafter the Uniform VehicleCode. Significant modifica-tion may be required toadapt this module to thecurrent statutes of yourstate.

10 Minutes

A. Basic DWI Statute: DrivingWhile Under the Influence

Display III-1

1. Elements of the offense: it isunlawful for any person to...

a. operate or be in actualphysical control of...

Discuss meaning/interpretationof "operational/actual physicalcontrol."

b. any vehicle... Discuss meaning of "vehicle".

c. within this state... i.e., public or private propertyanywhere in the state.

d. while under the influence ofalcohol and/or any drug.

Ask class: "What doesunder the influencemean?" Probe for avariety of responses.

2. In order to arrest someone for abasic DWI violation, officermust have probable cause tobelieve that all four elementsare present.

Note: If DWI is not a criminaloffense, burden of proof is lessthan "beyond a reasonabledoubt."

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-2

3. In order to convict a person ofDWI, the arresting officer mustestablish beyond a reasonabledoubt that all four elementswere present.

4. In particular, the arrestingofficer must establish that theaccused was "under theinfluence".

a. Courts have generally held

that "under the influence"means the ability to operatea vehicle has been affected,or impaired.

b. To convict a person of DWI,

the arresting officer must beable to show that theperson's capability of safeoperation has beenimpaired.

20 Minutes

B. Implied Consent Law andPresumptions

1. The question of how muchimpairment constitutes toomuch impairment is notcompletely clear.

a. Some courts have held that

impairment of driving to theslightest degree means theperson is "under theinfluence."

Emphasize: Participants mustbe prepared to articulate theimpairment exhibited by thedefendant at the time of thestop.

b. Other courts have insistedon evidence of substantialdriving impairment beforethey will convict someone ofDWI.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-3

c. The element of "under theinfluence" thus historicallywas (and remains) verydifficult to prove.

2. The principal purpose of theImplied Consent Law is toencourage people arrested forDWI to submit to chemical test,to provide scientific evidence ofalcohol and/or drug influence.

Write "Implied Consent Law"on dry-erase board or flipchart.

Display III-2

3. Key features/elements of theImplied Consent Law generallyinclude:

a. Any person who operates amotor vehicle upon thepublic highways of thisstate...

b. Shall be deemed to have

given consent to a chemicaltest...

NOTE: Present here theinformation relative to yourstate.

c. For the purpose ofdetermining the alcoholand/or drug content of thatperson's blood...

NOTE: Some states use breathalcohol concentration (BrAC).

d. When arrested for any actsalleged to have been com-mitted while the person wasoperating or in actualphysical control of a vehiclewhile under the influence ofalcohol and/or any drug.

4. If a person so arrested refusedto submit to the chemical test,no test shall be given.

Point out that the ImpliedConsent Law requires thedriver to submit to a chemicaltest(s). The law providespenalties for refusal to submitto the test(s).

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-4

a. However, the law providesthat the person's driver'slicense may be suspended orrevoked.

The right to refuse the test isnot an unlimited right: thelicense action is the "price" ofthe refusal.

b. The provision for the licensesuspension (or revocation)exists to encourage DWI ar-restees to submit to the test,so that valuable chemicalevidence may be obtained.

Display III-3

5. Legal presumptions define thesignificance of scientificchemical test evidence. Theyare provided by your state'sstatutes.

NOTE: Statutory presumptionlevels vary from state to state. Know your state law!

Insert here:__________ yourstate statutory levels.

a. If test shows blood alcoholconcentration is ormore: it shall be presumedthat the person is under theinfluence.

NOTE: Specific lawsconcerning underage drinkersor commercial motor vehicleoperators should be addressedhere.

b. If test shows BAC is orless: it shall be presumedthat the person is not underthe influence.

c. If test shows BAC is morethan but less than ,there is no presumption asto whether the person is oris not under the influence.

Point out that, even thoughthere is no presumption ofalcohol influence in that range,the test result is stillcompetent, admissibleevidence.

Display III-4

6. Key Point: As far asestablishing that the personwas "under the influence" isconcerned, The weight of thechemical test evidence ispresumptive, not conclusive.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-5

a. If there is no evidence to thecontrary, the court mayaccept the legalpresumption, and concludethat the per-son was or wasnot under the influence onthe basis of the chemicaltest alone.

Display III-5

b. However, other evidence(such as testimonyconcerning observations ofthe accused's driving,demeanor, appearance,speech, etc.) may besufficient to overcome thepresumptive weight of thechemical test.

c. Question number one: is it

possible for a person whoseblood alcohol concentrationwas above the per se orpresumptive level to beacquitted of DWI?

Example: o chemical test result 0.13;

o arresting officer's testimonyconcerning defendant'sdriving, appearance, actions,etc., is sketchy or unclear;

o defendant and/or otherwitnesses testify thatdefendant drove, acted,spoke, etc., in a normalfashion;

o result: not guilty.

Display III-6

d. Question number two: is itpossible for a person whoseblood alcohol concentrationwas below the per se orpresumptive level to beconvicted of DWI?

Example: o chemical test result 0.05;

o arresting officer providesclear, descriptive testimonyconcerning defendant'simpaired driving, stuporousappearance, slurred speech,difficulty in balancing,inability to perform fieldsobriety tests, etc.

o result: guilty.

e. Summary point: The chemi-cal test providespresumptive evidence ofalcohol influence, but does

Solicit participant's questionsconcerning the nature and legalsignificance of "presumptiveevidence."

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-6

not provide conclusiveevidence.

5 Minutes

C. Illegal Per Se Statute: Driving with a ProhibitedBlood Alcohol Concentration

1. Illegal Per Se is anotherdrinking-driving offense, relatedto, but different from DWI.

Instructor please note: If yourstate does not have an IllegalPer Se law, you may wish toskip this segment.

Write "Illegal Per Se" on dry-erase board or flipchart.

Display III-7

2. Elements of the Offense: it isunlawful for any person to...

a. operate or be in actualphysical control of...

b. any vehicle...

c. within this state...

d. while having a blood alcoholconcentration at or abovestate's level.

Compare and contrast theseelements with the elements ofDWI.

3. Illegal Per Se makes it anoffense, in and of itself, to drivewhile having a BAC at or abovestate's level.

Point out that "Per Se" roughlytranslates as "in and of itself."

a. To convict someone of anIllegal Per Se violation, it isnot necessary to establishthat the driver was underthe influence.

b. It is sufficient to establishthat the driver's BAC was ator above state's level whileoperating a vehicle in this

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-7

state.

4. The Illegal Per Se law does notreplace the DWI law: the twostatutes work side-by-side.

a. The two laws define two

separate offenses.

b. One law makes it an offenseto drive while under theinfluence of alcohol and/orany drug.

c. The other law makes it anoffense to drive whilehaving more than a certainpercentage of alcohol in theblood.

d. Since there is an Illegal PerSe law, why is it necessaryto retain the old DWI law?

Pose the question tothe class. Probe forresponses until at leastthe following pointshave emerged:

o some suspects refuse tosubmit to chemical testing;

o some violators are under theinfluence of drugs other thanalcohol;

o some are under the influenceof alcohol at BACs belowstate's level.

5. For the Illegal Per Se offense,the chemical test result isconclusive evidence.

Contrast with the DWI offense.

6. Principal purpose of Illegal PerSe law is to facilitateprosecution of drinking-driving

NOTE: Instructors must knowtheir state law.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-8

offenders.

a. The law reduces the state'sburden of proof.

NOTE: Instructor shouldreview your state’s policy.

b. Not necessary to show thatdefendant was "under theinfluence."

i.e., not required to demon-strate that the defendant'sability to drive was affected.

c. Sufficient to show thatdefendant's BAC was at orabove state's level.

NOTE: Sufficient grounds formaking the stop must bearticulated.

7. However, Illegal Per Se lawdoesn't really make drinking-driving enforcement any easier.

a. Officer must still have

probable cause to believethat the suspect is underthe influence before thearrest can be made.

b. Implied Consent law

requires that suspectalready be arrested beforethe suspect is deemed tohave given consent to sub-mit to the chemical test.

c. Implied Consent law alsorequires that the arrest bemade for "acts alleged tohave been committed whileoperating a vehicle whileunder the influence..."

Remind participants thatallegation is more than meresuspicion: requires probablecause to believe the offense hasbeen committed.

8. Summary point: police officersdealing with drinking-drivingsuspects must continue to relyprimarily on their own powersof detection to determinewhether or not an arrest shouldbe made.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-9

a. Usually, it is impossible to obtain a legally admissiblechemical test result untilafter the suspect is arrested.

b. In some cases, suspects willrefuse the chemical testafter being arrested; then,the case will depend strictlyon the officer's observationsand testimony.

c. While making a DWI arrest,

an officer should always as-sume that the suspect willrefuse the chemical test.

d. The officer should strive toorganize and present allobservations in the writtenreport and in verbal testi-mony, in such a clear andconvincing fashion that theviolator will be convictedregardless of whether thetest is taken and regardlessof the test result.

NOTE: Stress the importanceof thorough documentation, i.e.,“The DWI Investigative FieldNotes” that will be explained inSession IV.

5 Minutes

D. Preliminary Breath Testing: Obtaining an indication ofsuspect's BAC prior to arrest

1. Purpose of the law: The pre-liminary breath testing lawpermits a police officer to re-quest a DWI suspect to submitto an on-the-spot breath testprior to arresting the suspect forDWI.

Instructor please note: Ifyour state does not have apreliminary breath testing law,skip this segment.

2. Application of the law: Whenan officer has reason tobelieve...

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-10

a. From the manner in which aperson is operating or hasoperated a motor vehicle...

b. That the person has or mayhave committed the offenseof operating while under theinfluence...

c. The officer may request thatperson to provide a sampleof breath for a preliminarytest of the alcohol content ofthe blood...

d. Using a device approved for

this purpose.

Please note: Preliminarybreath testing laws differsignificantly from one state toanother. Substantialmodification of this segment oflesson plans may be needed toreflect your state's lawsaccurately.

3. Application of preliminarybreath test results.

a. The preliminary breath test

shall be used for helping todetermine whether anarrest should be made.

b. Results of the preliminary

breath test may not be usedas evidence against thedefendant in court.

4. There may be penalties forrefusal to submit to thepreliminary breath test.

a. License action (suspension,

etc.)

b. Fine

c. Other penalty provisions

Instructor please note: Outline the statutory/administrative penalties forPBT refusal in your state, ifany.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-11

CASE APPELLATE/ EVIDENCENAME STATE YEAR SUPREME COURT ADMISSIBLE OF BACBlakeLoomisMurphyHomanSmith

30 Minutes

E. Case Law Review

The following cases are landmarkcourt decisions relevant to theadmissibility of the SFSTsincluding Horizontal GazeNystagmus.

Challenges to the admissibilityhave been based on:

The National Traffic LawCenter (NTLC) has a list ofevery state’s Appellate Court/Supreme Court case addressingHGN and SFST issues. Thematerials are available to lawenforcement atwww.ndaa.org/apri/NTLC or byphone (703) 549-4253.

1. Scientific validity andreliability.

See Blake case.

2. Relationship of HGN to specificBAC level.

See Loomis case.

3. Officer training, experience, andapplication.

See Murphy case.See Homan case.See Smith

NOTE: Prepare the followingmatrix on the dry-erase boardor flipchart using Blake,Loomis, Murphy, Homan, andSmith. Refer to Attachment Ato select case law applicable toyour state.

4. State vs. Blake Write "Arizona; 1986" oppositeBlake on the matrix.

a. This is considered alandmark case on HGN,

Place a large asterisk on thematrix next to Blake.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-12

because it was the firstState Supreme Court-level ruling.

b. The Arizona Supreme Courtfound that HGN satisfiesthe Frye standards forevidence to corroborate, orattack, the issue of asuspect's impairment.

Write "Frye Standards" on thedry-erase board or flipchart. Clarification: The Frye case(decided by the U.S. SupremeCourt) set the standardsgoverning the admissibility of"new" scientific evidence.

c. In effect, in the Blake case,the Arizona Supreme Courttook judicial notice of HGN: Henceforth, in Arizona, it isnot necessary to introduceexpert scientific testimonyto secure the admissibilityof HGN.

Under "Admissibility" oppositeBlake, write "AbsolutelyYES".

d. The court also set standardsgoverning the training ofofficers who would be quali-fied to testify about HGN.

e. The Court also explicitlyfound that HGN cannot beused to establish BACquantitatively in theabsence of a chemical test.

Under "Evid of BAC" oppositeBlake, write "AbsolutelyNO".

5. People vs. Loomis

a. Court held that the officerwas not entitled to testify aseither a lay or expertwitness about HGN, or togive his opinion about thedefendant's BAC.

Write "California; 1984"opposite Loomis on the matrix. Point out that the arrestingofficer attempted to use theonset angle to give aquantitative estimate of BAC. The court would not accept it.

Under "Evid of BAC" oppositeLoomis, write NO.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-13

b. Court held that HGN is newform of scientific evidencethat will be allowed onlywhen there is preliminaryshowing of its generalacceptance in the scientificcommunity.

Point out that the officer'stestimony clearly demonstratedthat he was not properlytrained in HGN, and didn'treally understand how the testis to be given.

Under "Admissibility?" oppositeLoomis, write NO.

6. State vs. Murphy Write "Iowa; 1990" oppositeMurphy on the matrix.

a. The court ruled that theresults of a HGN test couldbe admitted into evidencebecause HGN was one of theSFSTs and the observationsof intoxication obtainedfrom the test were objectivein nature.

Under "Appellate Court Case"write "YES".

Under "Admissibility" oppositeMurphy write "YES".

b. The court noted that theofficer was properly trainedto administer the test andthat there was no need thatan officer be speciallyqualified to be able tointerpret the results.

c. The court also ruled thatHGN test results could notbe used to determine aspecific BAC level.

Under "Evidence of BAC" write"NO".

7. State vs. Homan Write "Ohio; 2000" oppositeHoman on the matrix.

a. The court ruled that SFSTsconducted in a manner thatdeparts from the methodsestablished by NHTSA are“inherently unreliable.”

Under "Supreme/AppellateCourt" write "YES".

Under “Admissibility” write“NO”.

Under “Evidence of BAC” write“NO”.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-14

b. The court noted thestatement in the NHTSAParticipant Manual whichstates “if any of the SFSTelements is changed, thevalidity of the tests iscompromised.”

Note: “FOR TRAININGPURPOSES, THE SFSTs ARENOT AT ALL FLEXIBLE. THEY MUST BE ADMINI-STERED EACH TIME,EXACTLY AS OUTLINED INTHE COURSE.”

c. This decision was basedupon an older edition of thismanual and was a strictinterpretation by the court. The phrase in question onlyapplied to the use of SFSTsfor training purposes.

Regarding Homan and Statevs. Schmitt, 101 Ohio St 3d 19,2004.

Also: See SFST Instructor’sManual, Session VII, page 4,Instructor’s Notes column.

See the Administrator’s Guide,page 8, number 8.

Note: The Homan decision doesnot preclude officers fromtestifying to observations evenif SFSTs are barred. See Ohiov. Schmitt, 101 Ohio St.3d 79,2004.

8. Smith vs. Wyoming

a. For the purpose ofestablishing probable cause,an officer may testify to theresults of field sobriety tests(including HGN) if it isshown that the officer hasbeen adequately trained andconducted them insubstantial accordance withthat training.

Write “Wyoming; 2000"opposite Smith on the matrix.

Under “Supreme/AppellateCourt” write “SUPREME”.

Under “Admissibility” oppositeSmith write “YES”.

Under “Evidence of BAC”opposite Smith write “N/A”.

b. Deficiencies in theadministration of the SFSTsgo to the weight accordedthe evidence and not to itsadmissibility.

9. Summary of HGN Case Law. Solicit participants' questionsand comments about case law.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 III-15

a. The prevailing trend, inrecent years, is for courts toadmit HGN as evidence ofimpairment, provided theproper scientific foundationhas been laid.

b. But courts consistently

reject all attempts to intro-duce HGN as evidence of aquantitative BAC.

NOTE: For further informa-tion, contact: American Prose-cutors Research Institute'sNational Traffic Law Center,99 Canal Center Plaza, Suite510, Alexandria, Virginia,22314, (703) 549-4253 to obtaina copy of Frye v. Federal Rules,May 1994 (an in-depthdiscussion of Frye).

10. Case Law of RelativeImportance.

Write each case on dry-eraseboard or flipchart.

a. State vs. Ricke Write "AZ; 1989" on dry-eraseboard or flipchart.

(1) The court held thatHGN test results couldbe admitted into evi-dence to corroboratechemical testevidence that a personwas operating a motorvehicle with a BAC levelat or above 0.10.

Write "In An Illegal Per SeCase" on dry-erase board orflipchart.

(2) The court also held thatHGN results could beadmitted asindependent proof forthe offense of DWI.

Cannot be used as evidence ofspecific BAC level.

b. State vs. City Court of Cityof Mesa

Write "AZ; 1990" on dry-eraseboard or flipchart.

(1) The court ruled that incases where there is nochemical test to deter-mine a BAC level, HGNtest results can beadmitted the same as offield sobriety tests toshow a neurologicaldysfunction, one causeof which could be theingestion of alcohol.

Write "No Chemical Test -HGN Admissible".

Write on dry-erase board orflipchart - "Cannot be used asevidence of specific BAC level".

NOTE: Use Attachment B forany relevant discussion.

HS 178 R2/06 III-16

TEST YOUR KNOWLEDGE

INSTRUCTIONS: Complete the following sentences. 1. The elements of the Basic DWI Law are: a.

b.

c.

d.

2. If DWI is a criminal offense, the standard of proof is

3. The purpose of the Implied Consent Law is

4. Under the Implied Consent Law, chemical test evidence is

evidence.

5. The Illegal Per Se Law makes it unlawful to

6. The PBT law permits a police officer to request a driver suspected of DWI to

7. PBT results are used to help determine

HS 178 R2/06

Fifty Minutes

SESSION IV

OVERVIEW OF DETECTION, NOTE TAKING AND TESTIMONY

HS 178 R2/06

SESSION IV OVERVIEW OF DETECTION, NOTE TAKING AND TESTIMONY Upon successfully completing this session, the participant will be able to: o Describe the three phases of detection. o Describe the tasks and key decision of each phase. o Discuss the uses of a standard note taking guide. o Discuss guidelines for effective testimony. CONTENT SEGMENTS LEARNING ACTIVITIES A. Three Phases of Detection o Instructor-Led Presentations B. DWI Investigation Field Notes o Reading Assignments C. Courtroom Testimony

Display IV-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-1

50 Minutes

IV OVERVIEW OFDETECTION, NOTE TAKINGAND TESTIMONY

15 Minutes

A. Three Phases of Detection

1. This segment focuses on the jobof DWI detection.

Write on dry-erase board or flipchart - "Focus: DWI Detection"

Display IV-1

a. DWI detection defined as -"The entire process ofidentifying and gatheringevidence to determinewhether or not a suspectshould be arrested for aDWI violation."

Point out that other definitionssometimes are given for "DWIDetection", but that thisparticular definition will beused for this course.

b. Detection begins when theofficer develops the firstsuspicion that a DWIviolation possibly isoccurring.

Point out that the initialsuspicion may be very slight insome cases, and may be verystrong in others.

c. Detection ends when theofficer finally decideswhether there is or is notsufficient probable cause toarrest the suspect for DWI.

Display IV-2

2. DWI detection contacts involvethree phases.

a. In Phase One, the officerobserves the suspectoperating the vehicle.

Point to Phase One on slide.

b. In Phase Two, after theofficer has stopped thevehicle, there usually is anopportunity to observe andspeak with the suspect,face-to-face.

Point to Phase Two on slide.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-2

c. In Phase Three, the officerusually has an opportunityto administer some formal,structured tests to thesuspect, to evaluate thesuspect's degree ofimpairment.

Point to Phase Three on slide. Point out that these formalstructured tests may includechemical (breath) tests as wellas the more traditional fieldsobriety tests.

3. Each detection phase involves amajor decision.

Write the major decisions(Stop? Exit? Arrest?) on dry-erase board or flipchart.

a. Phase One: Decision -- isthere sufficient cause tocommand the suspect tostop?

Point out that merely stoppingthe suspect doesn't necessarilymean that the officer iscommitted to arresting thesuspect for DWI.

b. Phase Two: Decision -- isthere sufficient cause toinstruct the suspect to stepfrom the vehicle for furtherinvestigation?

Point out that, by instructingthe suspect to exit the vehicle,the officer still is notcommitted to making the DWIarrest. However, the officerclearly suspects that there is astrong possibility that thedriver is under the influence.

c. Phase Three: Decision -- isthere sufficient probablecause to arrest the suspectfor DWI?

Emphasize that this decision isbased on the accumulation ofevidence from all three phases,and represents the culminationof the detection process.

Display IV-3

4. At any particular moment, anyof these three major decisionscould have three differentoutcomes.

a. Possible Decision #1: "Yes...Do it Now".

Examples: o Phase One (Vehicle)- yes,

there are reasonable groundsto stop that vehicle.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-3

o Phase Two (Person) - yes,there is enough reason tosuspect alcohol/drug impair-ment to justify getting thedriver out of the vehicle forfurther investigation.

o Phase Three (Tests) - yes,there is probable cause tobelieve the driver is DWI.

b. Possible Decision #2: "Wait...look for additionalevidence."

Examples: o Phase One - don't stop the

driver yet; keep following thevehicle to watch the opera-tor’s driving a bit longer.

o Phase Two - don't get thedriver out of the car yet; keeptalking and watching them abit longer.

o Phase Three - don't arrestthe driver yet; administeranother field sobriety testbefore deciding.

c. Possible Decision #3: "No...Don't Do It."

Examples: o Phase One - No, there are no

grounds for stopping thatdriver.

o Phase Two - No, there isn'tenough evidence of DWI tojustify administering fieldsobriety tests.

o Phase Three - No, there isnot sufficient probable causeto believe this driver hascommitted DWI.

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5. Summary of Detection Phases.

a. Sometimes, there are DWIdetection contacts in whichPhase One is absent: thatis, where there is noevidence of DWI violationbased on the officer'sobservation of the vehicle inmotion.

Ask representativeparticipants to suggestsituations in whichPhase One might be

absent. (examples: crashscene; roadblock; motoristassistance contact)

b. Sometimes, there arecontacts in which PhaseThree never occurs: that is,where no formal tests areadministered to the suspect.

Ask for examples (e.g.,suspect is grosslyintoxicated; suspect isseriously injured;

suspect refuses to submit toformal tests)

c. At each phase of detection,the officer must determinewhether there is sufficientevidence to provide the"reasonable suspicion"necessary to proceed to thenext step in the detectionprocess.

(1) It is always the officer's

duty to carry out what-ever phases are appro-priate, to make surethat all relevantevidence of DWI isbrought to light.

Display IV-4

(2) The ultimate decision toarrest or not arrest forDWI is based on theaccumulation of allrelevant evidence, fromall phases.

Solicit participants' questionsconcerning the overview ofdetection phases.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-5

20 Minutes

B. DWI Investigation FieldNotes

1. Throughout this course,participants will haveopportunities to practiceobserving, recording anddescribing evidence associatedwith the detection phases.

Point out how the practiceopportunities will be provided(e.g., film segments, classroomdemonstrations, etc.).

2. The evidence gathered duringthe detection process is vital toestablish the elements of theviolation, and to supportprosecution of the offense.

3. This evidence is observationalin nature, and therefore isextremely short-lived.

Write on dry-erase board orflipchart: "observations --short-lived evidence".

DisplayIV-5

4. Officers must be able torecognize and act on their ownobservations. But officers alsomust be able to recall thoseobservations, and describe themclearly and convincingly, tosecure a conviction.

Display slide IV-5, emphasizingtwo key detection performancerequirements.

a. Officer is inundated withmuch evidence of DWI: sights, sounds, smells, etc.

b. Officer recognizes thisevidence, sometimessubconsciously, and basesarrest decision on it.

c. But later, officer must beable to recollect thisobservational evidence.

d. And must be able to expressthe evidence clearly in anywritten report or oral

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-6

testimony.

5. Officers need a system fordocumenting their observationsin notes at the scenes of DWIinvestigations.

NOTE: This does not precludean agency from developingtheir own note-taking guide.

Display IV-6Athrough IV-6D

a. Standard Note-TakingGuide.

Refer to Attachment A, “DWIInvestigative Field Notes”(Copy and distribute toparticipants.)

Note: Advise participants thateach section of the note-takingguide will be broken down andthoroughly explain insubsequent sessions.

(1) Section I: Suspect/Vehicle/Location.

Briefly indicate the types ofnotes that should be taken ineach section of the standardnote-taking guide.

(2) Section II: DetectionPhase One.

Point out that the specificcontents of the guide will beclarified as the trainingprogresses through the threephases of detection.

(3) Section III: DetectionPhase Two.

Point out that the participantswill use copies of the standardguide to practice taking noteson DWI detection evidence.

(4) Section IV: DetectionPhase Three.

Solicit student's questionsconcerning note-takingprocedures.

15 Minutes

C. Courtroom Testimony

1. Although the majority of DWIcases do not actually come totrial, the arresting officer mustbe fully prepared to testify in

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-7

court.

2. Testimonial evidence in DWIcases usually is the only way toestablish that the accused wasin fact the driver of the vehiclealleged to have been involved inthe incident.

NOTE: Discuss your state’sadministrative licensesuspension hearing procedure.

3. Testimonial evidence also maybe the primary and sometimesthe only means of establishingthat the accused was impairedby alcohol and/or other drugs.

NOTE: Emphasize theimportance of documentation inpreparation for courttestimony.

4. Even when scientific evidence isavailable, supportivetestimonial evidence will berequired to permit introductionof that scientific evidence incourt.

Point out that participants willhave opportunities to practicegiving testimony, as thetraining progresses through thethree detection phases.

5. Testimonial evidence is only asgood as it is clear andconvincing.

Display IV-7

6. First Requirement: PrepareTestimony

a. Testimony preparationbegins at the time of theincident.

o recognize significant

evidence;

o compile complete,accurate notes;

o prepare complete,accurate report.

b. Testimony preparationcontinues prior to trial.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-8

o review notes;

o review case jacket/file;

o mentally organizeelements of offense, andthe evidence available toprove each element;

o mentally organizetestimony to conveyobservations clearly andconvincingly.

c. Prior to the trial, discuss thedetails of the case andtestimony with theprosecutor assigned to thecase.

Point out that a pretrialconference is recommended. However, the decision whetheror not to conduct one iscontrolled by the prosecutor. The "conference" may occur 5minutes prior to the trial.

Display IV-8

7. Testimony should be organizedchronologically and should covereach phase of the incident.

a. Initial observation of vehicleand/or suspect.

Point out that, in manyinstances, the prosecutor willcontrol the sequence oftestimony. However, the officershould organize testimony in alogical time-sequence, i.e., topresent facts and observationsin the order in which theyoccurred.

b. Reinforcing cues,maneuvers or actions,observed after signalingsuspect to stop, but beforesuspect's vehicle came to a

NOTE: A “cue” is defined as a“tip”.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IV-9

complete stop.

c. Clues, statements and otherevidence obtained duringofficer's initial face-to-facecontact with suspect.

NOTE: A “clue” is defined assomething that leads to thesolution of a problem.

d. Results of SFSTsadministered to the suspect.

e. The arrest itself; includingprocedures used to informsuspect of arrest, admonishsuspect of rights, etc.

f. Suspect's actions andstatements subsequent tothe arrest.

g. Observation of suspectsubsequent to the arrest.

h. The request for the chemicaltest; including proceduresused, admonition of rightsand requirements, etc.

To be included if arrestingofficer was also testing officer.

i. The administration andresults of the chemical test(if applicable).

j. Interview of suspect.

Solicit student's questionsconcerning testimonialrequirements.

HS 178 R2/06 IV-10

TEST YOUR KNOWLEDGE INSTRUCTIONS: Complete the following sentences. 1. DWI detection is defined as

2. The three phases in a typical DWI contact are:

Phase One

Phase Two

Phase Three 3. In Phase One, the officer usually has an opportunity to

4. Phase Three may not occur if

5. In Phase Two, the officer must decide

6. Each major decision can have any one of different outcomes.

These are

HS 178 R2/06 IV-11

7. At each phase of detection, the officer must determine

8. Evidence of DWI is largely in nature. 9. Police officers need a system and tools for recording field notes at scenes of

DWI investigations because DWI evidence is . 10. Testimony preparations begins

11. List two things the officer should do to prepare testimony just before the trial.

a.

b.

12. In court, the officer's testimony should be organized

13. The conditions and results of the Chemical test are included in the arrestingofficer's testimony if

ATTACHMENT(S)

DWI INVESTIGATION FIELD NOTESI. NAME_____________________________________________ SEX_____________________ RACE________

ADDRESS_________________________________________ CITY/STATE______________ OP.LIC.NO.____

D.O.B.__________/__________/__________ SOC. SEC. #_____________________________________________

VEHICLE MAKE________________________________ YEAR__________ LIC.__________ STATE_________

DISPOSITION______________________________________ NO. PASSENGERS_____________

INCIDENT LOCATION___________________________________________________________________________

DATE________/__________/__________ TIME______________ CRASH YES NO

II. VEHICLE IN MOTIONINITIAL OBSERVATIONS ________________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF STOP ________________________________________________________________________

_________________________________________________________________________________________________

III. PERSONAL CONTACTOBSERVATION OF DRIVER ______________________________________________________________________

_________________________________________________________________________________________________

STATEMENTS _________________________________________________________________________________

_________________________________________________________________________________________________

PRE-EXIT SOBRIETY TESTS _____________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF THE EXIT _____________________________________________________________________

_________________________________________________________________________________________________

ODORS _______________________________________________________________________________________

_________________________________________________________________________________________________

GENERAL OBSERVATIONSSPEECH ______________________________________________________________________________________

ATTITUDE ____________________________________________________________________________________

CLOTHING ___________________________________________________________________________________

PHYSICAL DEFECTS / DRUGS OR MEDICATIONS USED______________________________________________

IV. PRE-ARREST SCREENINGHORIZONTAL GAZE NYSTAGMUS

LEFT RIGHT

Equal Pupils 9 Yes 9 No k LACK OF SMOOTH PURSUIT

Equal Tracking 9 Yes 9 No k DISTINCT AND SUSTAINED NYSTAGMUS AT MAXIMUM DEVIATION

Vertical Nystagmus 9 Yes 9 No k ONSET OF NYSTAGMUS PRIOR TO 45 DEGREES

Other (i.e., Resting Nystagmus)_____________________________________________________

PBT (1) (optional) Time:__________ Results:__________ PBT (2) (optional) Time:__________ Results:__________

Type of Footwear

WALK AND TURNINSTRUCTIONS STAGE

CANNOT KEEP BALANCE

STARTS TOO SOON

WALKING STAGE

FIRST NINE STEPS SECOND NINE STEPS

STOPS WALKING

MISSES HEEL -TO- TOE

STEPS OFF LINE

RAISES ARMS

ACTUAL STEPS TAKEN

IMPROPER TURN (Describe) _________________________________________________________________________

CANNOT DO TEST (EXPLAIN) ________________________________________________________________________

_________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

ONE LEG STAND

L R

Sways while balancing.

Uses arms to balance.

Hopping.

Puts foot down.

CANNOT DO TEST (EXPLAIN) ___________________________________________________________________________

_____________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

OTHER FIELD SOBRIETY TESTSNAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

HS 178 R2/06

One Hour and Thirty Minutes

SESSION V

PHASE ONE: VEHICLE IN MOTION

HS 178 R2/06

SESSION V PHASE ONE: VEHICLE IN MOTION

Upon successfully completing this session, the participant will be able to: o Identify typical cues of Detection Phase One. o Describe the observed cues clearly and convincingly. CONTENT SEGMENTS LEARNING ACTIVITIES A. Overview: Tasks and Decision o Instructor-Led Presentations B. Initial Observations: Visual Cues o Video Presentation

of Impaired Operation (Automobiles)

C. Initial Observations: Visual Cues o Video Presentationof Impaired Operation (Motorcycles)

D. Recognition and Description of o Instructor-Led Demonstrations

Initial Cues E. Typical Reinforcing Cues of the o Participants' Presentations

Stopping Sequence F. Recognition and Description of Initial

and Reinforcing Cues

Display V-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-1

90 Minutes

V PHASE ONE: VEHICLE INMOTION

5 Minutes

A. Overview: Tasks andDecision

Display V-1

1. DWI Detection Phase One,Vehicle in Motion, consists ofthe initial observation ofvehicular operation, the stopdecision and the observation ofthe stop.

a. The initial observation ofvehicular operation beginswhen the officer first noticesthe vehicle and/or thedriver.

Point out block No. 1 on theslide.

Pose this question: "What are some of thekinds of things thatmight first draw your

attention to a vehicle?"

b. If the initial observationdiscloses vehicle maneuversor human behaviors thatmay be associated withalcohol influence, the officermay develop an initialsuspicion of DWI.

Examples: o moving traffic violation o equipment violation o registration sticker (expired) o other driving actions

- drifting within lane - slower than normal speed

o drinking in vehicle

2. Based upon initial observationof the vehicle operation, theofficer must decide whetherthere is reasonable suspicion tostop the vehicle.

Point out the decision on theslide.

a. Alternatives to stopping thevehicle include:

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-2

o delaying the stop/nostop decision, in order tocontinue observing thevehicle.

o disregarding the vehicle.

Ask class to suggestcircumstances underwhich it would beappropriate to delay

the stop decision to continue toobserve the vehicle.

b. Whenever there is a validreason to stop a vehicle, theofficer should be alert to thepossibility that the drivermay be impaired by alcoholand/or other drugs.

Emphasize that the officer maynot have an explicit reason tosuspect impairment at thistime.

3. Once the stop command hasbeen communicated to thesuspect driver, the officer mustclosely observe the driver'sactions and vehicle maneuversduring the stopping sequence.

Point out block No. 2 on theslide.

a. Sometimes, significantevidence of alcohol influencecomes to light during thestopping sequence.

b. In some cases, the stopping

sequence might produce thefirst suspicion of DWI.

c. Drivers impaired by alcoholand/or other drugs mayrespond in unexpected anddangerous ways to the stopcommand.

Emphasize officer's need to bealert for own safety.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-3

40 Minutes

B. Initial Observations: VisualCues of Impaired VehicleOperation

Display V-2

1. Drivers who are impaired byalcohol and/or other drugsexhibit common effects or signsof impairment.

a. Slowed reactions.

b. Increased risk taking (impaired judgment).

c. Impaired vision.

d. Poor coordination.

The following video segmentswere produced to show avariety of traffic stop situationsbeing performed by differentlaw enforcement agencies. Thegoal of this video is to depictthe cues associated withimpaired driving. Traineesshould be guided by their ownagency’s policy regarding trafficstops, officer safety tactics, andprofessional conduct.

2. These common effects of alcoholon the driver's mental andphysical faculties lead topredictable driving violationsand vehicle operatingcharacteristics.

NOTE: The national DrugRecognition Expert (DRE)program has increased aware-ness of the DWI-drug problem.

Use the following typesof questions to involvethe participants in adiscussion of driving

violations/characteristicsassociated with alcoholinfluence (all vehicles):

o What violations may resultfrom slowed reactions?

o What violations might resultfrom impaired judgment?

o What violations might resultfrom impaired vision?

o What violations might resultfrom poor coordination?

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-4

3. The National Highway TrafficSafety Administrationsponsored research to identifythe most common and reliableinitial indicators of DWI.

ANACAPA Sciences, DOT HS808 654, 1997.

a. Research identified 100cues, each providing a highprobability indication thatthe driver is under theinfluence.

The cues presented in thesecategories predict a driver isDWI at least 35 percent of thetime.

b. The list was reduced to 24cues during three fieldstudies involving hundredsof officers and more than12,000 enforcement stops.

Generally, the probability ofDWI increases substantiallywhen a driver exhibits morethan one of the cues.

Note: There is a brochurepublished by NHTSA thatcontains these cues. The titleis “The Visual Detection ofDWI Motorists” DOT HS 808677.

Display V-3

c. The driving behaviors arepresented in four categories:

(1) Problems in maintain-ing proper lane position.[P=.50-.75]

WeavingWeaving across lane linesStraddling a lane lineSwervingTurning with a wide radiusDriftingAlmost striking a vehicle orother object

(2) Speed and brakingproblems. [P=.45-.70]

Stopping problems (too far, tooshort, or too jerky)Accelerating or decelerating forno apparent reasonVarying speedSlow speed (10+ mph underlimit)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-5

(3) Vigilance problems.[P=.55-.65]

Driving in opposing lanes orwrong way on one waySlow response to traffic signalsSlow or failure to respond toofficer’s signalsStopping in lane for noapparent reasonDriving without headlights atnightFailure to signal or signalinconsistent with action

(4) Judgement problems.[P=.35-.90]

Following too closelyImproper or unsafe lane changeIllegal or improper turnDriving on other thandesignated roadwayStopping inappropriately inresponse to officerInappropriate or unusualbehavior (throwing objects,arguing, etc.)Appearing to be impaired

d. The research also identified10 post stop cues. [P > .85]

Difficulty with motor vehiclecontrolsDifficulty exiting the vehicleFumbling with driver license orregistrationRepeating questions orcommentsSwaying, unsteady, or balanceproblemsLeaning on the vehicle or otherobjectSlurred speechSlow to respond to officer/officer must repeatProvides incorrect information,changes answersOdor of alcoholic beverage fromthe driver

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-6

e. Explanation and illustrationof the 24 detection cues.

Show video. Allow 16.2minutes.

C. Initial Observations: VisualCues of Impaired VehicleOperation (Motorcycles)

1. Research has identified drivingimpairment cues formotorcyclists.

ANACAPA Sciences, DOT HS807 839, 1993.

Display V-4

a. Excellent Cues (50% orgreater probability)

o Drifting during turn orcurve

o Trouble with dismount

o Trouble with balance ata stop

o Turning problems (e.g.,unsteady, sudden cor-rections, late braking,improper lean angle)

o Inattentive tosurroundings

o Inappropriate or unusu-al behavior (e.g., carry-ing or dropping object,urinating at roadside,disorderly conduct, etc.)

o Weaving

b. Good Cues (30 to 50%probability)

o Erratic movementswhile going straight

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-7

o Operating without lightsat night

o Recklessness

o Following too closely

o Running stop light orsign

o Evasion

o Wrong way

2. Relationship of Visual Cues toimpaired divided attentioncapability.

Point out that it is important tounderstand how the effects ofalcohol are exhibited in driving,so that officers can recognizethe significance of their visualobservations.

a. Driving is a complex task,composed of many parts:

o steering o controlling accelerator o signaling o controlling brake pedalo operating clutch (if

applicable) o operating gearshift (if

applicable) o observing other traffic o observing signal lights,

stop signs, other trafficcontrol devices

o making decisions(whether to stop, turn,speed up, slow down,etc.)

o many other things

Ask participants toname the various partsof the driving task. List them on the chalk-

board as they are named.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-8

Display V-5

b. In order to drive safely, aperson must be able todivide attention among allof these various activities.

c. Under the influence ofalcohol or many drugs, aperson's ability to divideattention becomes impaired.

d. The impaired person tendsto concentrate on certainparts of driving, and todisregard other parts.

Example: Person stops at agreen light (scene fromprevious video.)

o Alcohol has impaired abilityto divide attention.

o Driver is concentrating onsteering and controlling theaccelerator and brake.

o Does not respond to theparticular color of the trafficlight.

e. Some of the most signifi-cant evidence from all 3phases of DWI detection canbe related directly to theeffects of alcohol and/orother drugs on dividedattention ability.

Point out that the concept ofdivided attention is especiallyimportant during personalcontact with DWI suspects andduring pre-arrest screening ofthem.

NOTE: Show video first. Useslide for review. Allow 12minutes.

20 Minutes

D. Initial Cues, Recognitionand Description

Display V-6

1. The task of making initialobservations of vehicleoperation is the first step in thejob of DWI detection.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-9

Display V-7

2. Proper performance of that taskdemands two distinct butrelated abilities:

a. Ability to recognize evi-dence of alcohol and/or otherdrug influence.

b. Ability to describe thatevidence clearly andconvincingly.

3. It is not enough that a policeofficer observe and recognizesymptoms of impaired driving. The officer must be able toarticulate what was observed sothat a judge or jury will have aclear mental image of exactlywhat took place.

Emphasize that observationalevidence is of little value if theofficer cannot make the judgeor jury "see" what the officersaw.

4. Improving the ability torecognize and clearly describeobservational evidence requirespractice.

a. It isn't practical to have im-

paired drivers actually drivethrough the classroom.

b. The next best thing is to usefilm (video) to portraytypical DWI detectioncontacts.

5. Procedures for practicing cuerecognition and description.

a. All participants view briefvideo segments illustratingpossible DWI violations.

Make sure all participantsunderstand the procedures thatwill be followed during thepractice sessions.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-10

b. Following the video seg-ment, a few minutes will begiven to allow allparticipants to write noteson what was observed.

Hand out copies of thestandard note-taking guide.

c. One or more participantswill be called forth to"testify" concerning whatwas observed.

Emphasize that participantsare to use the guide to compilenotes on their observations ofthe film segments.

d. Class will critique the"testimony" in terms of howclearly and convincingly itconveys what was actuallyobserved.

Emphasize that the purpose ofthe critique is not to embarrassanyone, but rather to helpeveryone become more skilledat providing clear, descriptivetestimony.

e. Goal is to choose wordscarefully and provide asmuch detail as necessary, toconstruct an accuratemental image of theobservations.

6. Video Segment No. 1 ("Leaving the Shopping Center)

Show Video Segment #1.

Allow two minutes forparticipants to compile notes.

7. Testimony of Video SegmentNo. 1. ("Leaving the ShoppingCenter")

Select a representative studentto come forward and "take thewitness stand," facing the class.

a. Key points to be elicited:

o Weather/trafficconditions

o Overshoots stop sign

o Makes wide right turn

Elicit testimony as follows: "Officer, you have been sworn. Please tell the court exactlywhat you observed at the timeand place in question.

Allow the participants to referto their notes, if so desired.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-11

o Causes bicyclist toswerve

When student completestestimony ask: "Officer, do youhave anything else to add?"

Once student indicates thatthere is nothing further to add,ask the class to comment onthe clarity and completeness ofthe testimony, and to add anyimportant details that were leftout.

Continue to prompt the class tooffer comments until all of thekey points have been notes.

If so desired and appropriate,repeat the showing of VideoSegment No. 1 to point out thekey details.

8. Video Segment No. 2 ("The Red SUV")

Show Video Segment #2. Allowtwo minutes for participants tocompile notes.

9. Testimony on Video SegmentNo. 2.

Select a representative studentto come forward to "testify".

Allow student to refer to notes.

a. Key points to be elicited:

o Weather/trafficconditions

Probe for any additionaldetails, or more descriptivelanguage, in the testimony.

o Wrong directional lighton

o Sits on green arrow

o Turns on red light

o Cuts turn short

Solicit comments from theclass.

Stress the importance of theparticular words used todescribe the subject vehicle'smotion.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-12

o Right wheels leaveroadway

o Drifts first to left thenright

o Crosses center line

o Slow response to stopcommand

Point out that words such as"swerving," "drifting," etc.,convey a powerful and clearmental image of how the ve-hicle moved, while terms suchas "erratic," "abnormal," etc.,are essentially non-descriptive.

Point out that it is permissibleand desirable for the officer touse hand movements, alongwith verbal testimony, toconvey clearly how the vehiclemoved.

If desired and appropriate,repeat the showing of videosegment #2.

5 Minutes

E. Typical Reinforcing Cues ofthe Stopping Sequence

1. After the command to stop isgiven, the alcohol impaireddriver may exhibit additionalimportant evidence of DWI.

Ask participants tosuggest possible cuesthat might be observedafter the stop command

that might reinforce the initialsuspicion of DWI.

Display V-8

2. Some of these cues are exhibitedbecause the stop commandplaces additional demands onthe driver's ability to divideattention.

Point out here the dangersinherent with fleeing operators. If time allows, review agency’spursuit policy.

a. The signal to stop creates anew situation to which thedriver must devote someattention.

i.e., emergency flashing lights,siren, etc., demand and divertthe suspect's attention.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-13

b. Signal to stop requires thedriver to turn the steeringwheel, operate the brakepedal, activate the signallight, etc.

c. As soon as officer gives the

stop command, the suspect'sdriving task becomes morecomplex.

d. If suspect is under theinfluence, the suspect maynot be able to handle thismore complex driving verywell.

Emphasize that turning on thepatrol vehicle's emergencylights creates a simple test ofthe suspect's drivingimpairment.

3. It is the officer's responsibilityto capture and convey theadditional evidence of impair-ment that may be exhibitedduring the stopping sequence.

Display V-9

a. Requires ability to recognizeevidence of alcohol and/orother drug influence.

b. Requires ability to describethat evidence clearly andconvincingly.

20 Minutes

F. Initial and Reinforcing CuesRecognition and Description

1. Procedures for practicing cuerecognition and description.

a. The next two videosegments combine all threeelements of DWI DetectionPhase One.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-14

b. Each segment begins withthe initial observation of thevehicle in operation.

c. In each segment, the

decision to stop the vehicleis made.

d. Each segment concludeswith the observation of thestop.

Standard note-taking guide tobe used to compile notes.

e. Following each segment, afew minutes will be given toallow participants to gatherthoughts and compile notes.

f. Participants will be called

upon to "testify" concerningwhat was observed, bothprior to and after the stopcommand.

g. Class will constructivelycritique the "testimony."

Make sure all participantsunderstand the procedures.

2. Video Segment No. 3. ("The Sliding Sports Car").

Show Video Segment #3.

Allow two-three minutes forthe participants to compilenotes.

3. Testimony on Video SegmentNo. 3.

Select a representative studentto come forward to "testify".

a. Key points to be elicitedconcerning observationsprior to the stop command:

Allow participants to refer tonotes.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-15

o Weather/traffic condi-tions/road surface

o Vehicle skids past stopsign

o Vehicle makes wideright turn

o Vehicle stops abruptly

Instruct participants as follows: "Officer, first tell us exactlywhy you signaled the driver tostop." Make sure studentconfines this stage of testimonystrictly to what was observedprior to the stop command.

b. Key points to be elicitedconcerning observationssubsequent to the stopcommand:

Next, instruct as follows: "Officer, now tell us exactlywhat you observed after youturned on the patrol vehicle'semergency lights."

o Subject vehicle pullssharply onto grass (frontwheels on grass)shoulder.

o Abruptly veers onto theshoulder (withoutsignaling) and makeshard, quick stop.

o Parks at angle toroadway.

Solicit class commentsconcerning details or possibleimprovements to the student'stestimony.

If desired and appropriate,repeat the showing of videosegment #3.

4. Video Segment No. 4. ("The Impatient Driver")

Show Video Segment #4.

Allow two-three minutes forthe participants to compilenotes.

5. Testimony on Video SegmentNo. 4.

Select a representative studentto come forward to "testify".

a. Key points to be elicitedconcerning observationsprior to the stop command:

Allow student to refer to notes.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-16

o Weather/traffic condi-tions/road surface

o Turn signal light turns

red.

Instruct student to testify firstconcerning everything observedprior to the stop command, andthen to everything observedafter the stop command.

o Vehicle pulls aroundstopped vehicle, makesimproper turn.

o Turns through red turn

light without signaling.

Solicit class commentsconcerning details or possibleimprovements to the student'stestimony.

b. Key points to be elicitedconcerning observationssubsequent to stopcommand:

If desired and appropriate,repeat the showing of videosegment #4.

o Slow response to thestop command (travelsapproximately 500 yardsbefore stopping).

o Weaving in lane and

across centerline.

6. Video Segment No. 5. ("Half In The Bag")

Show Video Segment #5.

Allow two-three minutes forthe participants to compilenotes.

7. Testimony on Video SegmentNo. 5.

Select a representative studentto come forward to "testify".

a. Key points to be elicitedconcerning observationsprior to the stop command:

o Weather/traffic

conditions.

o Fail to stop for stop sign.

Allow student to refer to notes.

Instruct student to testify firstconcerning everything observedprior to the stop command, andthen to everything observedafter the stop command.

o Cuts turn short.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 V-17

o Passenger throws trashat road sign.

b. Key points to be elicitedconcerning observationssubsequent to stopcommand:

o Slow response to thestop command.

HS 178 R2/06 V-18

TEST YOUR KNOWLEDGE INSTRUCTIONS: Complete the following sentences. 1. The Phase One tasks are __

__

2. Two common symptoms of impairment are:

a. _____

b. _____

3. Alcohol impairs the ability to among tasks.

4. Three cues reinforcing the suspicion of DWI which may be observed during thestopping sequence are:

a.

b.

c.

ATTACHMENT(S)

DWI INVESTIGATION FIELD NOTESI. NAME_____________________________________________ SEX_____________________ RACE________

ADDRESS_________________________________________ CITY/STATE______________ OP.LIC.NO.____

D.O.B.__________/__________/__________ SOC. SEC. #_____________________________________________

VEHICLE MAKE________________________________ YEAR__________ LIC.__________ STATE_________

DISPOSITION______________________________________ NO. PASSENGERS_____________

INCIDENT LOCATION___________________________________________________________________________

DATE________/__________/__________ TIME______________ CRASH YES NO

II. VEHICLE IN MOTIONINITIAL OBSERVATIONS ________________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF STOP ________________________________________________________________________

_________________________________________________________________________________________________

III. PERSONAL CONTACTOBSERVATION OF DRIVER ______________________________________________________________________

_________________________________________________________________________________________________

STATEMENTS _________________________________________________________________________________

_________________________________________________________________________________________________

PRE-EXIT SOBRIETY TESTS _____________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF THE EXIT _____________________________________________________________________

_________________________________________________________________________________________________

ODORS _______________________________________________________________________________________

_________________________________________________________________________________________________

GENERAL OBSERVATIONSSPEECH ______________________________________________________________________________________

ATTITUDE ____________________________________________________________________________________

CLOTHING ___________________________________________________________________________________

PHYSICAL DEFECTS / DRUGS OR MEDICATIONS USED______________________________________________

IV. PRE-ARREST SCREENINGHORIZONTAL GAZE NYSTAGMUS

LEFT RIGHT

Equal Pupils 9 Yes 9 No k LACK OF SMOOTH PURSUIT

Equal Tracking 9 Yes 9 No k DISTINCT AND SUSTAINED NYSTAGMUS AT MAXIMUM DEVIATION

Vertical Nystagmus 9 Yes 9 No k ONSET OF NYSTAGMUS PRIOR TO 45 DEGREES

Other (i.e., Resting Nystagmus)_____________________________________________________

PBT (1) (optional) Time:__________ Results:__________ PBT (2) (optional) Time:__________ Results:__________

Type of Footwear

WALK AND TURNINSTRUCTIONS STAGE

CANNOT KEEP BALANCE

STARTS TOO SOON

WALKING STAGE

FIRST NINE STEPS SECOND NINE STEPS

STOPS WALKING

MISSES HEEL -TO- TOE

STEPS OFF LINE

RAISES ARMS

ACTUAL STEPS TAKEN

IMPROPER TURN (Describe) _________________________________________________________________________

CANNOT DO TEST (EXPLAIN) ________________________________________________________________________

_________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

ONE LEG STAND

L R

Sways while balancing.

Uses arms to balance.

Hopping.

Puts foot down.

CANNOT DO TEST (EXPLAIN) ___________________________________________________________________________

_____________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

OTHER FIELD SOBRIETY TESTSNAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

ATTACHMENT B

The Detection of DWI at BACs Below 0.10

Final Report

Submitted to:U.S. DEPARTMENT OF TRANSPORTATION

NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION

Jack Stuster, PhD, CPEProject Director

12 September 1997

ANACAPA SCIENCES, INC.P.O. Box 519

Santa Barbara, California 93102(805) 966-6157

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Executive Summary

This report documents the research activities and presents the results of astudy conducted for the National Highway Traffic Safety Administration (NHTSA)to identify driving and other behavioral cues that are associated with blood alcoholconcentrations (BACs) below the 0.10 level. The ultimate objective of the researchhas been to develop training materials to assist law enforcement officers in theaccurate detection of motorists who are driving while impaired (DWI).

Description of the ResearchThe research and development project was composed of 13 major project

tasks, conducted in two phases. During Phase I, a work plan was developed toguide all subsequent tasks, a comprehensive review of the low BAC literature wasperformed, interviews were conducted with DWI experts from across the UnitedStates, a data base of low BAC arrest reports was assembled, and two field studieswere conducted. The analysis of archival, interview, arrest report, and field datacollected by observers led to the identification of 34 driving cues and 10 post-stopcues for further evaluation.

Five law enforcement agencies participated in the second of the field studies,known as the preliminary field study, by recording the driving and post-stop cuesobserved for all enforcement stops, regardless of the disposition of the stop; theBACs of all drivers who exhibited objective signs of having consumed alcohol alsowere recorded. By collecting data about all enforcement stops that were made, itwas possible to calculate the proportions of the stops in which specific cues werefound in association with various BAC levels. All archival, interview, and fieldstudy data were analyzed, and recommendations for draft training materials weredeveloped, as the final Phase I task.

A draft DWI detection guide, training booklet, and training video weredeveloped based on the results of the preliminary field study; the materials included24 driving and 10 post-stop cues. Law enforcement agencies representing 11 of the15 states with 0.08 BAC limits for DWI were recruited to participate in the Phase IIvalidation study. Participating officers reviewed the video and printed trainingmaterials, then completed a data collection form following every enforcement stopmade, regardless of the disposition of the stop; the same form was used as in thepreliminary field study, conducted previously. The validation study data wereanalyzed and a final version of the training materials, and this technical report,were prepared as the final Phase II project tasks.

Data were collected during more than 12,000 enforcement stops during thisresearch project. The stops were made by several hundred participating officers,representing more than 50 law enforcement agencies from across the United States.

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ResultsThe results of the preliminary field study largely supported the 20 cues at the

0.08 BAC level that were presented on the original NHTSA DWI detection guide,which was developed in 1980 for the 0.10 BAC level. However, no cues were foundthat reliably predicted BACs below 0.08; that is, the cues that are key predicotrs ofDWI at the 0.08 BAC level failed to emerge with useful probabilities at BAC levelsbelow 0.08. The results of the Phase II validation study further confirmed the keycues that were contained in the original NHTSA guide, a few additional drivingcues, and the 10 post-stop cues. The DWI driving cues were presented in functionalcategories in both the printed materials and the training video: ProblemsMaintaining Proper Lane Position, Speed and Braking Problems, VigilanceProblems, and Judgment Problems.

Slight modifications were made to the training materials, based on theresults of the Phase II validation study. The final version of the DWI detectionguide is reproduced below.

DWI DETECTION GUIDEWeaving plus any other cue: p = at least .65

Any two cues: p = at least .50

PROBLEMS MAINTAINING PROPER LANE POSITION• Weaving • Weaving across lane lines p=.50-.75• Straddling a lane line • Swerving• Turning with a wide radius • Drifting• Almost striking a vehicle or other object

SPEED AND BRAKING PROBLEMS p=.45-.70• Stopping problems (too far, too short, or too jerky)• Accelerating or decelerating for no apparent reason• Varying speed • Slow speed (10+ mph under limit)

VIGILANCE PROBLEMS p=.55-.65• Driving in opposing lanes or wrong way on one-way• Slow response to traffic signals• Slow or failure to respond to officer’s signals• Stopping in lane for no apparent reason• Driving without headlights at night*• Failure to signal or signal inconsistent with action*

JUDGMENT PROBLEMS p=.35-.90• Following too closely• Improper or unsafe lane change• Illegal or improper turn (too fast, jerky, sharp, etc.)• Driving on other than the designated roadway• Stopping inappropriately in response to officer• Inappropriate or unusual behavior (throwing, arguing, etc.)• Appearing to be impaired

POST STOP CUES p>.85• Difficulty with motor vehicle controls• Difficulty exiting the vehicle• Fumbling with driver’s license or registration• Repeating questions or comments• Swaying, unsteady, or balance problems• Leaning on the vehicle or other object• Slurred speech• Slow to respond to officer/officer must repeat• Provides incorrect information, changes answers• Odor of alcoholic beverage from the driver

*p>.50 when combined with any other cue:• Driving without headlights at night• Failure to signal or signal inconsistent with action

The probability of detecting DWI by random trafficenforcement stops at night has been found to be aboutthree percent (.03).

Anacapa Sciences, Inc.: Appendix BDWI Detection at BACs Below 0.10

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DWI Cues At BACs Below 0.10A Review of the Literature

The purpose of this review is to prepare information for the research teamconcerning the determination and validation of visual cues for the detection ofmotorists who are driving while impaired (DWI) with blood alcohol concentrations(BACs) below 0.10.

BACKGROUNDAn emphasis on DWI enforcement during the past decade has been a factor in

the significant improvement in traffic safety, as represented by declining fatal andalcohol-involved crash rates. Despite the significant improvements in traffic safetyduring the past 30 years, particularly during the past decade, more than 40,000people still perish each year as a result of motor vehicle crashes. The current UStraffic fatality rate amount to a daily average of about 126 people – the equivalentof a Boeing 727 crashing every day of the year.

The economic losses from alcohol involved crashes are staggering at anestimated $21 to $24 billion annually (for property damage alone) (Miller, 1992). In1990, the combined cost of all traffic collisions was $137.5 billion, including 28million vehicles damaged, 5.4 million people injured, and 44,531 lives lost (Blincoe& Faigin, 1992).

A reduction in the number of alcohol-involved crashes and the number ofalcohol-impaired drivers on the road is a top priority. Numerous studies indicatethat when DWI enforcement levels are increased, the number of alcohol involvedcollisions decrease (Hause, Chavez, Hannon, Matheson, 1977; Voas & Haus, 1987;Blomberg, 1992). However, many officers are unable to identify legally impaireddrivers from their driving behavior, or even during the brief interview customary ata sobriety checkpoint. For example, in the Netherlands, as many as 32 percent ofdrivers with BACs above .05 might escape detection at checkpoint, when officershave the advantage of a face-to-face exchange (Gundy & Verschuur, 1986).

There are at least two clear solutions to the low BAC DWI detection problem: 1) Random Breath Testing (RBT) to objectively detect drivers operating above thelegal limit; and, 2) increased officer sensitivity to behavioral cues exhibited at lowerBAC levels. Although the RBT method is operating effectively in Australia (McCaul& McLean, 1990), it is probably not an appropriate program for the United States. Fourth Amendment rights currently prevent random breath testing; for example,testing only can occur at a sobriety checkpoint after probably cause has beenestablished (Voas, 1991). Thus, the most likely solution to improving detection oflow BACs is to improve the DWI detection ability of law enforcement officers.

Anacapa Sciences, Inc.: Appendix BDWI Detection at BACs Below 0.10

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In 1980, Harris et al. conducted NHTSA sponsored research to determine thebehavioral cues for on-the-road detection of DWI. The final product of this AnacapaSciences’ study was a DWI Detection Guide providing 20 visual cues commonlyexhibited by impaired drivers with a BAC equal to or greater than 0.10. The Guideprovides the probability for each cue of discriminating between Driving WhileImpaired (DWI) and Driving While Sober (DWS). The DWI Detection Guide andsupporting training materials are part of the DWI Detection and StandardizedField Sobriety Testing course currently distributed by NHTSA (NHTSA, 1990). Surprisingly, although there has been a limited evaluation of the DWI DetectionGuide (Vingilis et al., 1983), the only additional research of this type that has beenperformed since 1980 was a NHTSA sponsored study to develop a motorcycle DWIdetection guide (Stuster, 1993).

It is legitimate to question whether a cue guide calibrated for the 0.08 levelwould appear very similar if not identical to the DWI detection guide developednearly 20 years ago by Anacapa Sciences. A new, lower BAC limit DWI detectionguide might ultimately appear similar to the old guide, but the research isimportant for at least three reasons.

1. The research that supported the development of the DWI Detection Guidewas conducted 18 years ago. Many things have changed considerably sincethe late 1970s. It is not unreasonable to suspect that some fundamentalchanges might be reflected in the behavioral cues associated with driverimpairment. And, there might be behaviors that correlate more closelywith lower than higher BACs.

2. At the very least, a periodic reprise of a research and development effort iswarranted if the work involved important public policy and enforcementimplications. The DWI Detection Guide and training program have notbeen reviewed or revised since they were developed. Increased awarenessof DWI issues and public support for DWI enforcement in recent yearscontribute to the need to upgrade and make current an important decisionaid and training program that is used by law enforcement personnel fromacross the U.S.

3. It is essential for researchers to view the issue of DWI detection form theperspective of an officer on patrol. A patrol officer wants to know thelikelihood that a specific driver behavior is indicative of DWI at the (new)0.08 level or above, or at the 0.04 level or above. The “or above” isimportant because as the BAC level is reduced the probability that a givencue is predictive of DWI rises – because all of the or aboves are included inthe calculation. From the officer’s perspective (in an 0.08 jurisdiction) it isusually irrelevant if the motorist is 0.08, 0.10, or some higher value – it isonly important to determine that the motorist is 0.08 or above.

Anacapa Sciences, Inc.: Appendix BDWI Detection at BACs Below 0.10

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Although the modal BAC limit for DWI continues to be 0.10 in the UnitedStates, there is a definite trend towards lowering the limit. When the currentproject started in 1993, only five states had adopted a 0.08 percent legal limit, butby the conclusion of the research the number of states with a 0.08 limit hadincreased to 15. Further, the Commercial Motor Vehicle Safety Act of 1986established a nationwide maximum BAC of 0.04 percent for all commercial drivers. In addition, several states have adopted a zero tolerance statute or a 0.02 percentBAC limit for youthful drivers. Studies that suggest low officer DWI detectionrates, and improved low BAC detection when using passive alcohol sensors (Kiger etal., 1983; Jones et al., 1985: Vingilis and Gingilis, 1985), suggest the need for a DWIdetection guide for levels below 0.10 percent BAC.

RELEVANT RESEARCHThe trend of lowering BAC limits is a reflection of the growing body of evidence

that alcohol begins to impair nervous function at BAC levels below 0.10 percent. Moskowitz and Robinson (1988) conducted a comprehensive literature reviewconcerning the effects of alcohol on driving behavior, emphasizing the BACs atwhich impairment begins. A majority of studies found impairment at low BACs(below 0.07). Many studies found impairment at the 0.04 level and below.

Moskowitz and Robinson computed BACs for all studies, even those thatincluded BAC data in the original report. Often these calculations resulted inhigher BACs than were reported in the original study, probably because the olderdevices were inaccurate. The calculations also allowed for gender differences (bytaking into account the different percentages of body water in females and males). If anything, the calculations performed by Moskowitz and Robinson lead to an over-estimation of BAC level. If this is the case, the impairments they report at variousBAC levels actually might occur at lower BACs than reported later in this review.

In the Moskowitz study, factors were grouped into behavioral categoriespertinent to driving. The following categories were affected at 0.05 percent BAC.

• Reaction time • Tracking• Divided attention • Information processing• Visual functions • Perception

Driving behaviors that showed impairment at 0.08 percent to as low as 0.03percent included:

• Steering • Gear changing• Braking • Speed judgment• Speed control • Distance judgment• Lane tracking

Anacapa Sciences, Inc.: Appendix BDWI Detection at BACs Below 0.10

-- B - 4 --

In addition, tasks requiring divided attention showed impairment at BACs aslow as 0.02 percent. These driver behaviors are listed in the table presented at theend of this section; the table provides a comprehensive inventory of all DWI cuesidentified during the current review.

Although the Moskowitz and Robinson review is the most extensive source ofinformation available about driver impairment at various BAC levels, several otherstudies identify potential cues for DWI detection. In an Anacapa Sciences’ studyconducted for the Insurance Institute for Highway Safety, Casey and Stuster (1982)identified the following 12 risky driving behaviors of both automobile andmotorcycle operators.

• Running stop sign or traffic light• Unsafe passing due to oncoming traffic• Unsafe turn in front of oncoming or opposing traffic• Following too closely• Unsafe lane change or unsafe merging• Weaving through traffic• Crossing a double line in order to pass• Passing on the right• Excessive speed for conditions• Improper turn• Splitting traffic• Stunts

Similarly, Treat et al. (1980), in a study of risky driving actions and theirinvolvement in traffic collisions, identified the following 13 Unsafe Driving Actions.

• Pulling out in front of traffic• Following behavior• Speeding: Absolute/Over limit• Speeding: Relative/For traffic conditions• Turning in front of oncoming traffic• Running stop sign or light• Changing lanes or merging in front of traffic• Driving left of center or on centerline• Passing unsafely• Driving off road to right• Backing unsafely• Turning too wide or too sharp• Turning from wrong lane

Anacapa Sciences, Inc.: Appendix BDWI Detection at BACs Below 0.10

-- B - 5 --

Several of these unsafe driving actions also have been identified as indicators ofdriving while impaired in the Harris et al (1980) study: following too closely, fastspeed (deleted from the final version of the DWI Detection Guide), failing to respondto traffic signals or signs, and driving into opposing or crossing traffic.

Additionally, several studies suggest stopping method as a primary differencebetween DWI and unimpaired driving (Attwood et al., 1980; Bragg et al., 1981;Compton, 1985). Differences included braking sooner and stopping jerkily whenunder the influence of alcohol.

In a study developing and validating the sobriety field test battery, Tharp,Burns, and Moskowitz (1981) reported the reasons for stopping suspected alcoholimpaired drivers. The most common reasons were traffic infractions (e.g., speeding,failing to stop) rather than non-infraction driving behaviors such as weaving ordrifting. There is significant overlap between the behaviors reported by Tharp et al.(1981) and the DWI on-the-road detection cues identified by Harris et al. (1980).

In a study evaluating screening procedures for police officers at sobrietycheckpoints, cues noticed by officers were correlated with the BAC levels of thedrivers. Compton (1985) found significant differences in stopping behavior. Ingeneral, drivers stopped smoothly at low BAC levels (0-0.04) and “jerkily” at higherBAC levels (0.10-0.15). Drivers with a low BAC did not serve, those with higherBACs (greater than 0.10) did. Cues identified by Compton that related to drivingand stopping behaviors, and personal appearance, are presented in thecomprehensive table at the end of this review. The cues identified in the Comptonstudy include personal appearance variables not previously identified in the 1980Harris et al. study. These cues include:

• Odor of alcohol• Face flushed• Speech slurred• Eyes dilated• Demeanor• Hair disheveled• Poor dexterity• Clothes disheveled

Of these personal appearance variables, odor of alcohol, face flushed, and eyesdilated appear to be the most promising for DWI detection at low BAC levels.

Anacapa Sciences, Inc.: Appendix BDWI Detection at BACs Below 0.10

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CONCLUSIONSThe objective of the current study is to develop an appropriate set of behaviors

that can be used by field officers to accurately identify motorists who are drivingwhile impaired at the 0.08 level, and to determine if cues are available that predict0.04 and 0.02 BAC levels. No sources were identified that specifically identifybehavioral cues for alcohol impairment at the lower levels. However, a table ofpotentially applicable behaviors has been prepared, based on a comprehensivereview of the literature. This list, presented in the following table, includes allbehaviors previously discussed in this review, and shows the considerableagreement among the studies. The behaviors identified here later will be combinedwith cues identified during interviews with DWI patrol experts, and from thearchival research. The resulting comprehensive inventory of DWI cues then will beused to develop data collection forms for the first of the field studies.

HS 178 R2/06

One Hour and Thirty Minutes

SESSION VI

PHASE TWO: PERSONAL CONTACT

HS 178 R2/06

SESSION VI PHASE TWO: PERSONAL CONTACT

Upon successfully completing this session, the participant will be able to: o Identify typical clues of Detection Phase Two. o Describe the observed clues clearly and convincingly. CONTENT SEGMENTS LEARNING ACTIVITIES A. Overview: Tasks and Decision o Instructor-Led Presentations B. Typical Investigation Clues of the

Driver Interview o Video Presentation C. Recognition and Description of

Investigation Clues o Instructor-Led Demonstrations D. Interview/Questions Techniques o Participant’s Presentations E. Recognition and Description of Clues

Associated With the Exit Sequence

Display VI-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-1

90 Minutes

VI PHASE TWO: PERSONALCONTACT

5 Minutes

A. Overview: Tasks andDecision

Display VI-1

1. DWI Detection Phase Two,Personal Contact, consists of:

o The face-to-face observationand interview of the driverwhile still in the vehicle.

o The decision to instruct thedriver to exit the vehicle.

o The observation of the dri-ver's exit from the vehicle.

a. The interview/observation ofthe driver begins as soon asthe suspect vehicle andpatrol vehicle have come tocomplete stops, continuesthrough the officer'sapproach to the suspectvehicle, and involves allconversation between theofficer and the suspect priorto the suspect's exit fromthe vehicle.

Point out block No. 1 on theslide.

b. Prior to any face-to-face ob-servation and the interviewof the driver, the officer mayalready have developed asuspicion that the driver isimpaired, based on theobservations of the vehicleoperation and of the stop.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-2

c. Alternatively, the vehicleoperation and the stop mayhave been fairly normal,and the officer may have noparticular suspicion of DWIprior to the face-to-facecontact.

Ask participants tosuggest situationswhere this might be thecase.

Examples: o Stop for tail light violation,

with no moving violation.

o Stop for speeding, with noerratic/unusual operation.

d. Regardless of what evi-dence may have come tolight during DetectionPhase One, the initial face-to-face contact between theofficer and the suspectusually provides the firstdefinite indications thatalcohol impairment may bepresent.

2. Based upon the interview andface-to-face observation of thedriver, and upon the previousobservations of the vehicle inmotion, the officer must decidewhether to instruct the suspectto exit the vehicle.

Point out the decision on theslide.

Ask participants tosuggest circumstancesunder which it wouldbe appropriate not to

instruct the suspect to exit.

Ask participants tosuggest circumstancesunder which it wouldbe appropriate to

instruct the suspect to exit.

Remind participants thatthey must always practiceappropriate officer safetytactics while the suspectexits the vehicle.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-3

3. Once the decision to instruct thesuspect to exit has been made,the officer must closely observethe suspect's actions during theexit and walk from the vehicle,and note any additionalevidence of impairment.

Point out block No. 2 on theslide.

15 Minutes

B. Typical Investigation Cluesof the Driver Interview

1. The interview and face-to-faceobservation of the driver allowthe officer to use three senses togather evidence of alcoholand/or other drug influence.

Write "see -- hear -- smell" ondry-erase board.

a. Sense of sight Ask participants tosuggest typical thingsthat an officer mightsee during the

interview that would bedescribable clues or evidence ofalcohol and/or other druginfluence.

Display VI-2

After most major sight clueshave been suggested, displaythem via slide VI-2.

b. Sense of hearing Ask participants tosuggest typical thingsthat an officer mighthear during the

interview that would bedescribable clues or evidence ofalcohol and/or other druginfluence.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-4

Display VI-3

After most major sound clueshave been suggested, displaythem via slide VI-3.

c. Sense of smell Ask participants tosuggest typical thingsthat an officer mightsmell during the

interview that would bedescribable clues or evidence ofalcohol or drug ingestion. NOTE: For officer safety beaware of communicableairborne diseases, etc.

Display VI-4

After most major odor clueshave been suggested, displaythem via slide VI-4.

2. Proper face-to-face observationand interview of the suspectdemands two distinct butrelated abilities of the officer:

Display VI-5

a. Recognize the sensoryevidence of alcohol and/orother drug influence.

b. Describe that evidenceclearly and convincingly.

15 Minutes

C. Recognition and Descriptionof Investigation Clues

1. Procedures for practicing cluerecognition and description.

a. The next video segmentdeals strictly with theface-to-face observation andinterview of a driver.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-5

b. You will have to base yourdescription of the driver'spossible impairment strictlyon what you see and hearduring the face-to-facecontact.

Point out that this next videosegment is a continuation ofthe last segment shown.

c. Both senses provide somecritically importantevidence, not only in thisvideo segment, but in allface-to-face contacts.

Standard note-taking guide tobe used to compile notes.

d. When the video segmentends, a few minutes will begiven to allow participantsto gather thoughts andcompile notes on what wasseen and heard.

e. One or more participantswill be called upon to"testify" concerning whatwas seen and heard.

f. Class will constructivelycritique the "testimony".

Make sure all participantsunderstand the procedures.

2. Video Segment No. 6 ("The Busy Businessman")

Show video segment #6.

Allow three-four minutes forthe participants to compilenotes.

3. Testimony on Video SegmentNo. 6.

Select two participants to comeforward together to testify.

a. Key points to be elicitedconcerning what was seen:

o Weather/traffic

conditions.

o Officer raps on driver'swindow to signal driverto open window.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-6

o Suspect lowers rearwindow first, then opensfront window part way.

Instruct participants to testifystrictly to what was seen.

o Suspect's appearance isdazed, stuporous.

Solicit class commentsconcerning details or possibleimprovements to the firststudent's testimony.

b. Key points to be elicitedconcerning what was heard:

Instruct the second student totestify strictly to what washeard.

o Speech is thick, slurred.

o Suspect asks “if this isgoing to take long.”

o Suspect indicated he

gave driver’s license toofficer.

o Suspect states “what

stop sign” rather thanred light.

Solicit class commentsconcerning details or possibleimprovements to the secondstudent's testimony.

Play back tape recording (asappropriate) to compare withsecond student's testimony.

5 Minutes

D. Interview/QuestioningTechniques

Display VI-6

1. The questions an officer asks ofa suspect, and the way in whichthey are asked, can providesimple, divided attention tasks.

2. Sample Divided AttentionQuestion: ask suspect toproduce their driver's licenseand vehicle registration.

3. Things to watch for in thesuspect's response to yourinstruction to produce driver'slicense and vehicle registration:

Ask representativeparticipants to suggestpossible evidence of

impairment that might come tolight during the production ofthe license and registration.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-7

a. Forgets to produce bothdocuments (dividedattention).

b. Produces inappropriate, orother documents.

c. Passes over the license

and/or registration whilesearching through thewallet.

d. Fumbles or drops wallet,license or registration.

e. Unable to retrieve docu-

ments, using fingertips.

4. Variation on the request forlicense and registration: theinterrupting or distractingquestion.

5. The interrupting or distractingquestion forces the suspect todivide attention between thelicense/registration search andthe new question.

Example: "Without looking atyour watch, what time it isright now?"

6. Things to watch for in suspect'sresponse to the interrupting ofdistracting question:

a. Suspect ignores question,

because suspect isconcentrating on thelicense/registration search.

Ask class to suggestpossible evidence ofimpairment that mightbe disclosed by the

interrupting or distractingquestion. Continue to probeuntil all major possibilitieshave been mentioned.

b. Suspect forgets to resumesearch for license andregistration after answeringthe question.

c. Suspect supplies incorrect

answer to the question.

Ask class to suggestother interrupting/distracting questionsthat might be put to a

suspect during the retrieval ofthe driver's license.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-8

7. After obtaining the license andregistration: verifyinginformation through unusualquestions.

Examples: While holding thesuspect's driver's license, ask: "What is your middle name?

Ask class to suggestother unusualquestions that mightserve as simple,

pre-exit techniques.

8. There are probably dozens ofquestions which the suspectshould be able to answer veryeasily, but which might be verydifficult to handle whileimpaired, simply because theyare unusual.

9. Unusual questions require thesuspect to process information;this can be especially difficult todo when the suspect doesn'texpect to have to processinformation.

Examples: suspect mayrespond to the question aboutthe middle name by giving firstname.

In each case, suspect ignoresthe unusual question andinstead answers an unspokenusual question.

Ask class to suggestother unusualquestions that might beput to the suspect.

10. Sample tests that can beadministered while the suspectis still inside the vehicle.

Point out that these kinds oftests have not beenscientifically validated but stillcan be useful for obtainingevidence of impairment.

Demonstrate the exampleslisted below.

a. Alphabet recital. Recite the alphabet, beginningwith the letter E as in Edward,and stopping after the letter Pas in Paul.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-9

b. Count-down tests. Count out loud backwards,starting with the number 67and ending at the number 54.

c. Finger Count Test. Touch the tip of right thumb, inturn, to tips of the fingers ofthe right hand, simultaneouslycounting "one, two, three, four";then reverse direction onfingers, simultaneouslycounting down "four, three,two, one".

NOTE: Be aware of any courtrestraints regarding these typeof tests.

15 Minutes

E. Recognition and Descriptionof Clues Associated With theExit Sequence

1. The decision to instruct thesuspect to exit the vehicle maybe based on suspicion that thesuspect may be impaired.

a. Even though that suspicionmay be strong, the suspectusually is not yet underarrest at this point.

b. How the suspect exits thevehicle, and the actions andbehavior of the suspectduring the exit sequence,may provide importantadditional evidence ofalcohol and/or other druginfluence.

2. Usual kinds of evidenceobtained during observation ofthe exit sequence.

Ask participants tosuggest typical thingsthat might be seen withan impaired suspect

during the exit sequence.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VI-10

3. Video Segment No. 7 ("The Busy BusinessmanExiting")

Show Video Segment #7.

4. Testimony on Video SegmentNo. 7

Select a student to testify.

a. Key points prior to the exit:

o Admits drinking ("Acouple").

o Officer detects odor of alcoholic beverage.

Solicit class commentsconcerning testimony.

b. Key points during the exit:

o Suspect forgets tounfasten seat belt.

o Puts hand on door and

roof to lift himself out ofthe car.

o Falls back against side

of car upon exiting.

c. Key points after the exit:

o Stops to straightenclothes.

Display VI-7

o Keeps hand on car while walking.

After most major exit clueshave been suggested, displaythem via slide VI-7.

HS 178 R2/06 VI-11

TEST YOUR KNOWLEDGE INSTRUCTIONS: Complete the following sentences. 1. The two major evidence gathering tasks of Phase Two are

2. The major decision of Phase Two is

3. Among the describable clues an officer might see during the Phase Twointerview are these three:

a.

b.

c.

4. Among the describable clues an officer might hear during the interview are

these three:

a.

b.

c. 5. Among the describable clues an officer might smell during the interview are

these two:

a.

b.

HS 178 R2/06 VI-12

6. Three techniques an officer might use in asking questions constitute simpledivided attention tasks. These techniques are:

a.

b.

c.

7. The Count Down Technique requires the subject to

8. Leaning against the vehicle is a clue to DWI which may be observed during

ATTACHMENT(S)

DWI INVESTIGATION FIELD NOTESI. NAME_____________________________________________ SEX_____________________ RACE________

ADDRESS_________________________________________ CITY/STATE______________ OP.LIC.NO.____

D.O.B.__________/__________/__________ SOC. SEC. #_____________________________________________

VEHICLE MAKE________________________________ YEAR__________ LIC.__________ STATE_________

DISPOSITION______________________________________ NO. PASSENGERS_____________

INCIDENT LOCATION___________________________________________________________________________

DATE________/__________/__________ TIME______________ CRASH YES NO

II. VEHICLE IN MOTIONINITIAL OBSERVATIONS ________________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF STOP ________________________________________________________________________

_________________________________________________________________________________________________

III. PERSONAL CONTACTOBSERVATION OF DRIVER ______________________________________________________________________

_________________________________________________________________________________________________

STATEMENTS _________________________________________________________________________________

_________________________________________________________________________________________________

PRE-EXIT SOBRIETY TESTS _____________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF THE EXIT _____________________________________________________________________

_________________________________________________________________________________________________

ODORS _______________________________________________________________________________________

_________________________________________________________________________________________________

GENERAL OBSERVATIONSSPEECH ______________________________________________________________________________________

ATTITUDE ____________________________________________________________________________________

CLOTHING ___________________________________________________________________________________

PHYSICAL DEFECTS / DRUGS OR MEDICATIONS USED______________________________________________

IV. PRE-ARREST SCREENINGHORIZONTAL GAZE NYSTAGMUS

LEFT RIGHT

Equal Pupils 9 Yes 9 No k LACK OF SMOOTH PURSUIT

Equal Tracking 9 Yes 9 No k DISTINCT AND SUSTAINED NYSTAGMUS AT MAXIMUM DEVIATION

Vertical Nystagmus 9 Yes 9 No k ONSET OF NYSTAGMUS PRIOR TO 45 DEGREES

Other (i.e., Resting Nystagmus)_____________________________________________________

PBT (1) (optional) Time:__________ Results:__________ PBT (2) (optional) Time:__________ Results:__________

Type of Footwear

WALK AND TURNINSTRUCTIONS STAGE

CANNOT KEEP BALANCE

STARTS TOO SOON

WALKING STAGE

FIRST NINE STEPS SECOND NINE STEPS

STOPS WALKING

MISSES HEEL -TO- TOE

STEPS OFF LINE

RAISES ARMS

ACTUAL STEPS TAKEN

IMPROPER TURN (Describe) _________________________________________________________________________

CANNOT DO TEST (EXPLAIN) ________________________________________________________________________

_________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

ONE LEG STAND

L R

Sways while balancing.

Uses arms to balance.

Hopping.

Puts foot down.

CANNOT DO TEST (EXPLAIN) ___________________________________________________________________________

_____________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

OTHER FIELD SOBRIETY TESTSNAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

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NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

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NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

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HS 178 R2/06

55 Minutes

SESSION VII

PHASE THREE: PRE-ARREST SCREENING

HS 178 R2/06

SESSION VII PHASE THREE: PRE-ARREST SCREENING

Upon successfully completing this session, the participant will be able to: o Describe the role of psychophysical and preliminary breath tests. o Define and describe the concepts of divided attention and nystagmus. o Discuss the advantages and limitations of preliminary breath testing. o Discuss the arrest decision process.

CONTENT SEGMENTS LEARNING ACTIVITIES

A. Overview: Tasks and Decision o Instructor-Led Presentations B. Gaze Nystagmus - Definition o Instructor-Led Demonstrations

C. Horizontal Gaze Nystagmus - Definition, o Video PresentationConcepts, Demonstrations

D. Vertical Gaze Nystagmus - Definition, Concepts, Demonstrations

E. Divided Attention Tests: Concepts, Examples, Demonstrations

F. Advantages and Limitations of Preliminary Breath Testing

G. The Arrest Decision Display VII-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06

55 Minutes

VII PHASE THREE:PRE-ARREST SCREENING

5 Minutes

A. Overview: Tasks andDecision

Display VII-1

1. DWI Detection Phase Three,Pre-arrest Screening, consists ofstructured, formalpsychophysical testing andpreliminary breath testing ofpersons suspected of DWI, andculminates in the arrest/noarrest decision.

Point out that it is the policyof some police departments toconduct psychophysical testingprior to preliminary breathtesting, whereas otherdepartments usually conductpreliminary breath testingfirst. Hence, the twoscreening tasks are shown asparallel rather than sequen-tial activities on the slide.

Indicate the preferred se-quence of psychophysical andpreliminary breath testing forthe participants' department.

Display VII-2

a. Psychophysical tests aremethods of assessing asuspect's mental and/orphysical impairment.

Point out that these testsdirectly assess impairment byfocusing precisely on thehuman capabilities needed forsafe driving (examples: bal-ance, reactions, coordination,information, processing, etc.)

(1) The most significantpsychophysical tests arethe standardized fieldsobriety tests, admini-stered at roadside.

Write on dry-erase board orflipchart: "Standardized FieldSobriety Tests."

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-1

Redisplay VII-1

b. The preliminary breath testcan also be very importantin helping to corroborate allother evidence, and inhelping to confirm theofficer's judgment as towhether the suspect isunder the influence.

Point out the PBT block. Instructor Please Note: Inmost states, results of a pre-liminary breath test ordinarilycannot be introduced asevidence by the prosecution. Indicate to participants thelimits of admissibility of PBTresults in their state.

c. The final stage of DetectionPhase Three is the ArrestDecision.

Point out the arrest decisionon the slide.

Emphasize that the arrestdecision is based on all ofthe evidence obtainedduring all three detectionphases.

5 Minutes

Display VII-3

B. Nystagmus - Definition

1. "Nystagmus" means aninvoluntary jerking of the eyes.

a. Alcohol and certain otherdrugs cause Horizontal GazeNystagmus.

b. Show video. Show video “The Truth Is InThe Eyes” (Wisconsin - 1999).

5 Minutes

C. Horizontal Gaze Nystagmus- Definition, Concepts,Demonstration

1. Horizontal Gaze Nystagmusmeans an involuntary jerking ofthe eyes occurring as the eyesgaze toward the side.

Choose a participant to comeforward to serve as ademonstration subject.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-5

2. To test for Horizontal GazeNystagmus, the suspect isinstructed to stand with feettogether, hands at sides, holdthe head still, and follow themotion of a small stimulus withthe eyes only.

Ask participant if they haveany eye problems or eyeabnormalities. If theparticipant is wearing glasses,have participant remove them.

a. The object may be the tip ofa pen or penlight, the eraseron a pencil, or your fingertipwhich contrasts with thebackground.

Point out here the stimulusshould be held approximately12-15 inches (30-38 cm) fromthe suspect's nose.

b. Each eye is checked,beginning with the suspect'sleft.

c. Two or more "passes" aremade before each eye, tolook for each of the clues ofnystagmus.

Demonstrate theadministration of theHorizontal Gaze Nystagmustest using a participant.

Allow participant to return toseat.

Point out that a suspect's height might restrict ability toclearly see nystagmus. Suspect may be placed insitting position toaccommodate a better view.

Suggest the showing of thevideo entitled, “The Truth IsIn the Eyes” (8 minutes and 50seconds).

5 Minutes

D. Vertical Gaze Nystagmus -Definition, Concepts,Demonstration

1. Vertical Gaze Nystagmus is aninvoluntary jerking of the eyesoccurring as the eyes are held atmaximum elevation.

Note: Vertical GazeNystagmus was not includedin the SFST battery duringthe original research, how-ever, it is a reliable indicatorof a high quantity of alcoholfor that individual, or otherdrug impairment.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-6

For VGN to be recorded, itmust be distinct and sustainedfor a minimum of four secondsat maximum elevation.

Demonstrate theadministration of the VerticalGaze Nystagmus test using aparticipant.

20 Minutes

Display

VII-4

E. Divided Attention Tests: Concepts, Examples

1. Many of the most reliable anduseful psychophysical testsemploy the concept of dividedattention.

a. Driving is a complex dividedattention task, composed ofmany components.

b. Alcohol and many otherdrugs impair a person'sability to divide attention.

Remind participants of themany tasks drivers mustperform in order to operate avehicle safely.

c. Under the influence of alco-hol or various other drugs,drivers often must ignorethe less critical componentsof driving and focus theirimpaired attention on themore critical tasks.

Example: Focus on steeringand speed control, and ignoresignaling or the processing ofinformation from trafficcontrol devices.

2. Even under the influence, manypeople often can handle a single,focused-attention task fairlywell.

Example: May be able to keepthe vehicle well within theproper traffic lane, as long asthe road remains fairlystraight.

3. But most people, when underthe influence, cannotsatisfactorily divide theirattention to handle multiple

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-7

tasks at once.

4. Application of divided attentionconcept to psychophysicaltesting: select and use fieldsobriety tests that simulate thedivided attention characteristicsof driving.

Point out that some of the bestpsychophysical tests are thosethat exercise the same mentaland physical capabilities thata person needs to drive safely.

Display VII-5

a. Typical mental and physicalcapabilities that driversmust be able to carry outsimultaneously.

o Information processing

o Short-term memory

o Judgement/decisionmaking

o Vision

o Small muscle control

Briefly give examples/indications of how thesecapabilities relate to driving.

b. A test that simultaneouslyrequires a person todemonstrate two or more ofthese capabilities is apotentially goodpsychophysical test.

5. Key supportive concept fordivided attention tests: simplicity.

a. It is not enough to select a

test that divides the sus-pect's attention.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-8

Display VII-6

b. The test must also bereasonably simple toperform, when sober.

c. Tests that might be toodifficult to perform whensober will be of little or noevidentiary value.

6. First example of a simpledivided attention test: Walk-and-Turn.

Point out that Walk-and-Turnis a test that has beenvalidated through extensiveresearch sponsored by theNational Highway TrafficSafety Administration.

NOTE: Also point out here,that officers should be remind-ed of the rigid standards thescientific community mustfollow in order to validatelaboratory research (i.e., thedevelopment of psychophysicaltest for DWI detection) andthe differences betweenvalidated testing andstandardized testing. Officersadministering SFSTs atroadside are expected: 1) to bereasonable and prudent intheir decision to test; and 2)not to deviate from the SFSTadministrative instructionsdescribed later in this course.

Display VII-7

a. Walk-and-Turn is a dividedattention test consisting oftwo stages:

o Instructions stage. o Walking stage.

Remind participants that priorto starting this test theyshould ask if the subject hasany physical problems ordisabilities.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-9

b. Instructions Stage: Suspectmust assume heel-to-toestance, with arms at sides,and listen to instructions.

Demonstrate stance.

c. Walking Stage: Suspectmust take nine heel-toesteps down the line, turn ina prescribed fashion, andtake nine heel-toe steps upthe line, while countingsteps out loud.

Point out that this dividesattention between a balancingtask and an informationprocessing task. Demonstrateheel-toe steps andsimultaneous counting.

d. Prescribed Turn: Suspectmust keep the front foot onthe line, turn on that foot,using a series of small stepswith the other foot.

Demonstrate turn.

Point out that the walkingstage divides the suspect'sattention between a task oflistening, comprehending andcarrying out the instruction.

7. Second example of a simple divi-ded attention test: One-LegStand.

Point out that One-Leg Standhas also been validatedthrough NHTSA's researchprogram.

Display VII-8

a. One-Leg Stand consists oftwo stages.

o Instructions stage. o Balance and Counting

stage.

b. Instructions Stage: Suspectmust stand with the feettogether, with arms at sides,and listen to theinstructions.

Point out that this dividesattention between a balancingtask and an informationprocessing task. Demonstratethe stance.

c. Balance and CountingStage: Suspect must raiseone leg, either leg, with thefoot approximately sixinches (15 cm) off the

Demonstrate stance andcounting.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-10

ground, keeping raised footparallel to the ground.

Point out that this dividesattention between balancingand counting out loud.

While looking at the raisedfoot, count out loud in thefollowing manner: "onethousand and one," "onethousand and two,” “onethousand and three” untiltold to stop.

Point out that research hasdemonstrated that manyimpaired suspects are able tomaintain one leg balance foras long as 25 seconds, butrelatively few can do so for 30seconds. NOTE: Thereforeofficer should keep track of theactual time the suspect standson one leg. When 30 secondshave passed, stop the test.

Point out that the subjectshould be timed whileperforming this test.

8. Video Segment Number 8 Show video segment #8, tapeone “Proper Administration ofthe SFSTs”

9. Other examples of simple,divided attention tests. (Instructor's Option)

Instructor Please Note: If time permits, explain anddemonstrate other dividedattention tests that may beused by participant'srespective departments.

Typical tests: o Finger-to-nose o Romberg balance

15 Minutes

F. Advantages and Limitationsof Preliminary BreathTesting

Display VII-9

1. Basic purpose of preliminarybreath testing: To demonstratethe association of alcohol influ-ence with the sensory evidenceof the suspect's impairment.

NOTE: If your state does nothave a PBT law, skip thissegment. However, passivealcohol sensors are availableto detect the possible presence

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-11

of alcohol.

2. Preliminary breath testing, likepsychophysical testing, is astage of the pre-arrest screeningof a DWI suspect.

Emphasize that the suspect'simpairment is establishedthrough what the officer sees,hears and smells.

a. Suspect is not yet underarrest when requested tosubmit to the preliminarybreath test.

Emphasize that the PBT helpsto confirm the chemical basis(alcohol) of that impairment.

b. Incident remains at theinvestigative stage;accusatory stage has not yetbegun.

c. PBT result is only oneadditional factor to helpdeter-mine whether or notsuspect should be arrestedfor DWI.

d. PBT result can be asignificant factor in thearrest decision, because itprovides a direct indicationof alcohol influence.

i.e., all other evidence, frominitial observation of vehicle inoperation through psycho-physical testing, indicatesalcohol influence indirectly,based on impairment of thesuspect's mental and physicalfaculties.

Display VII-10

3. Advantages of PreliminaryBreath Testing.

a. Corroborates other evidence: demonstrates that thesuspicion of alcoholinfluence is consistent withthe officer's observations ofsuspect's mental andphysical impairment.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-12

b. Confirms officer's ownjudgment: helps the officergain confidence in ability toevaluate alcohol impairmentaccurately, based onobservations andpsychophysical tests.

Point out that manyexperienced DWI officers findthat they rely less and less onthe PBT as their confidence intheir own powers of detectionincreases.

c. May disclose the possibilityof medical complicationsand/or impairment due todrugs other than alcohol.

d. Can help to establishprobable cause for a DWIarrest.

i.e., observed psychophysicalimpairment coupled with aPBT result showing very lowBAC indicates an immediateneed to investigate the possi-bility that the suspect suffersfrom some medical/ healthproblem, or may have ingestedother drugs.

4. Limitations of PreliminaryBreath Testing.

a. Evidentiary Limitations.

INSTRUCTOR PLEASENOTE: The potential role ofthe PBT in establishing prob-able cause may be affected bythe evidentiary value of PBTresults in your state.

Consult your specific PBTstatute, and your local state'sor district attorney to clarifythis point for yourparticipants.

Explain the specific circum-stances under which PBTresults may and may not beadmissible as evidence in yourstate.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-13

Explain the weight orprobative value of PBTevidence, when admissible.

b. Accuracy Limitations:

o Circumstancesproducing low testresults.

o Circumstances

producing high testresults.

Point out that, although allPBT instruments currentlyused by law enforcement arereasonably accurate, they aresubject to the possibility ofsome error, especially if theyare not used in the properfashion.

Display VII-11

5. Factors affecting accuracy ofPreliminary Breath Tests.

a. Five major factorspotentially can affectpreliminary breath testaccuracy:

o Composition of breathsample.

Point out that the first twofactors listed act to producelow test results, and that thethird and fourth act to producehigh test results.

o Cooling of breathsample.

o Residual mouth alcohol.

o Contaminating sub-stances in the breathsample.

o Radio frequencyinterference (RFI)

Point out that RFI canproduce either high or low testresults, or can prevent abreath test device fromproducing any result.

Briefly explain the factors andtheir influence.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VII-14

5 Minutes

G. The Arrest Decision

DisplayVII-12

1. Arrest/No Arrest Decision isbased on all evidence accumu-lated during all detectionphases.

a. Officer's mental summary ofthe evidence collectedduring vehicle in motion,personal contact, andpre-arrest screening.

b. The decision involves acareful review and"weighing" of observations.

2. If all of the evidence, takentogether, establishes probablecause to believe the offense hasbeen committed, officer shouldarrest the suspect.

3. In the absence of probablecause, the proper decision is torelease suspect, or to cite foranother violation, if applicable.

HS 178 R2/06 VII-15

TEST YOUR KNOWLEDGE

INSTRUCTIONS: Complete the following sentences. 1. The two major evidence gathering tasks of Phase Three are

2. The major decision in Phase Three is

3. The entire DWI detection process culminates in

4. Divided attention tests require the subject to

5. Among the mental and physical capabilities a person needs to drive safely arethese four:

a.

b.

c.

d.

6. The two stages of the Walk-and-Turn are:

a.

b.

HS 178 R2/06 VII-16

7. The two stages of the One-Leg Stand are:

a.

b.

8. The purpose of PBT is

9. Two factors that produce high results on a PBT are:

a.

b. 10. Two factors that produce low results on a PBT are:

a.

b.

HS 178 R2/06

Three Hours and Twenty Minutes

SESSION VIII

CONCEPTS AND PRINCIPLES OF THE STANDARDIZED FIELD SOBRIETY TESTS (SFST)

HS 178 R2/06

SESSION VIII

CONCEPTS AND PRINCIPLES OF THE STANDARDIZED FIELD SOBRIETY TESTS(SFST) Upon successfully completing this session, the participant will be able to:

o Discuss the development and validity of the research and the standardizedelements, clues and interpretation of the three standardized field sobriety tests.

o Discuss the different types of nystagmus and their effects on the Horizontal Gaze

Nystagmus test. o Discuss and properly administer the three standardized field sobriety tests. o Discuss and recognize the clues of the three standardized field sobriety tests. o Describe in a clear and convincing manner and properly record the results of the

three standardized field sobriety tests on a standard note taking guide. o Discuss the limiting factors of the three standardized field sobriety tests. CONTENTS SEGMENTS LEARNING ACTIVITIES A. Overview: Development and Validation o Instructor-Led Presentation

B. SFST Field Validation Studies o Instructor-Led Demonstration C. Horizontal Gaze Nystagmus o Participant Practice Session and

DemonstrationD. Vertical Gaze Nystagmus E. Walk-and-Turn

F. Combining the Clues of the Horizontal Gaze Nystagmus and Walk-and-Turn G. One-Leg Stand H. Limitations of the Three Tests I. Taking Field Notes on the Standardized Field Sobriety Tests

Display VIII-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-1

3 Hours 20 Minutes

VIII CONCEPTS ANDPRINCIPLES OF THESTANDARDIZED FIELDSOBRIETY TESTS (SFST)

15 Minutes

A. Overview: Development andValidation

Display VIII-1

1. For many years law enforce-ment officers have utilized fieldsobriety tests to determine theimpairment of a person'sdriving due to alcohol influence. The performance of the personon those field sobriety tests wasused by the officer to developprobable cause for arrest and asevidence in court. A wide vari-ety of field sobriety tests existedand there was a need to developa battery of standardized validtests.

Point out to participants thatNHTSA contracted with theSouthern California ResearchInstitute (SCRI) in 1975 todevelop these field tests. SCRI published the followingthree reports:

California: 1977 (Lab)California: 1981 (Lab andField)Maryland, D.C., V.A., N.C.,1983 (Field)

Display VIII-1A

2. Beginning in late 1975, exten-sive scientific research studieswere sponsored by NHTSAthrough a contract with theSouthern California ResearchInstitute (SCRI) to determine -which roadside field sobrietytests were the most accurate.

See Attachment A, page 3,#20.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-2

Display VIII-2

3. SCRI traveled to law enforce-ment agencies throughout theUnited States to select the mostcommonly used field sobrietytests. Six tests were used in theinitial stages of this study.

4. Laboratory research indicatedthat three of these tests, whenadministered in a standardizedmanner, were a highly reliablebattery of tests fordistinguishing BACs above 0.10:

o Horizontal Gaze Nystagmus

(HGN)o Walk-and-Turn (WAT)o One-Leg Stand (OLS)

Display VIII-3

5. NHTSA analyzed the laboratorytest data and found:

o HGN, by itself, was 77%accurate.

o WAT, by itself, was 68%accurate.

o OLS, by itself, was 65%accurate.

o By combining the results ofHGN and WAT, an 80% ac-curacy rate can be achieved.

Display VIII-4

6. The final phase of this studywas conducted as a fieldvalidation.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-3

Display VIII-4A

o Standardized, practical andeffective procedures weredeveloped.

Display VIII-4B

o The tests were determinedto discriminate in the field,as well as in the laboratory.

7. The three standardized testswere found to be highly reliablein identifying subjects whoseBACs were above 0.10. Theresults of the study validatedthe SFSTs.

15 Minutes

B. SFST Field ValidationStudies

Display VIII-5

1. Three SFST validation studieswere undertaken between 1995and 1998:

o Colorado - 1995o Florida - 1997o San Diego - 1998

See Attachments B, C, and D.

Display VIII-6

2. The Colorado SFST validationstudy was the first full fieldstudy that utilized law enforce-ment personnel experienced inthe use of SFSTs.

o The original SCRI studyutilized only a fewexperienced officers in DWIenforcement in both alaboratory setting and fieldsetting.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-4

o Based on the 3-test battery (HGN, WAT, OLS),correct arrest decisions weremade 93% of the time.Substantially higher thanthe initial study results.

3. The Florida SFST field valida-tion study was undertaken inorder to answer the question ofwhether SFSTs are valid andreliable indices of the presenceof alcohol at 0.08 levels andabove when used under presentday traffic and law enforcementconditions.

Display VIII-7

o Based on the 3-test battery(HGN, WAT, OLS), correctdecisions to arrest weremade 95% of the time.

o This study has shown thatthe SFST 3-test battery isthe only scientificallyvalidated and reliable method for discriminatingbetween impaired andunimpaired drivers.

4. The San Diego SFST field vali-dation study was undertakenbecause of the nationwide trendtowards lowering the BAClimits to 0.08. The question tobe answered was “does SFSTdis-criminate at BAC’s below0.10".

Display VIII-8

o Based on the 3-test battery(HGN, WAT, OLS), arrestdecisions were supported91% of the time at the 0.08BAC level and above.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-5

o HGN is still the most reli-able of the 3-test battery.

This study provided the firstindications supportingarrest decisions at 0.08BAC. The study alsosuggests that HGN canprovide valid indications of0.04 BAC and above.

Note: Refer to Attachments Cand D for informationregarding these SFST researchstudies.

1 Hour 15Minutes

C. Horizontal Gaze Nystagmus

1. Review of definition.

a. Involuntary jerking of theeyes, occurring as the eyesgaze to the side.

Display VIII-9

b. In addition to beinginvoluntary:

o person is generallyunaware that it ishappening.

o person is powerless to

stop it or control it.

2. Key Summary Point.

a. Alcohol and certain otherdrugs cause Horizontal GazeNystagmus.

Display VIII-10

3. Categories of Nystagmus.

a. Horizontal Gaze Nystagmusis not the only kind ofnystagmus.

b. There are other circum-

stances under which theeyes will jerk involuntary.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-6

c. It is important to knowsome of the other commontypes of nystagmus, to beaware of their potentialimpact on our field sobrietytests.

d. Nystagmus of several differ-ent origins may be seen. There are three generalcategories of nystagmus:

(1) Vestibular Nystagmus iscaused by movement oraction to the vestibularsystem.

Reveal the first category onSlide VIII-10.

(a) Types of vestibularnystagmus:

o RotationalNystagmusoccurs when theperson is spunaround orrotated rapidly,causing the fluidin the inner earto be disturbed.

Point out that the vestibularsystem is a sense organ locatedin the inner ear. It providesinformation to the brain, andconsequently to the eyes aboutposition and movement of thehead to maintain orientationand balance of the body.

If you were able to observe theeyes of a rotating person, theywould be seen to jerknoticeably.

o Post RotationalWhen the personstops spinning,the fluid in theinner earremains dis-turbed for ashort period oftime, and theeyes continue tojerk.

Also indicate that these typesof nystagmus will not interferewith the horizontal gazenystagmus test due to the con-ditions under which they occur.

To illustrate rotational andpost rotational, swirl a halfglass of water several times. Stop swirling glass, water willcontinue to spin for a shortperiod of time.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-7

o Caloric Nystag-mus occurs whenfluid motion inthe canals of thevestibularsystem isstimulated bytemperature asby putting warmwater in one earand cold in theother.

o Positional Alco-hol Nystagmus(PAN) occurswhen a foreignfluid, such asalcohol, thatalters thespecific gravityof the blood is inunequalconcentrations inthe blood andthe vestibularsystem.

In the original HGN study,research was not conducted forperforming HGN on peoplelying down. Current researchdemonstrates that HGN can beperformed on someone in thisposition.

See Attachment A, page 5, #33,Nystagmus Testing inIntoxicated Individuals.

This causes the vestibularsystem to respond to gravity incertain positions, resulting innystagmus.

There are two types of PAN:

PAN I-occurs when the alcoholconcentration in the blood isgreater than the inner earfluid. PAN I occurs while BACis increasing.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-8

PAN II - occurs when thealcohol concentration in theinner ear fluid is greater thanin the blood. An example ofPAN is the spinning of a roomwhen a person lies down afterconsuming alcohol. This occurswhile BAC is decreasing.

(2) Nystagmus can alsoresult directly fromneural activity:

Reveal the next category onSlide VIII-10.

(a) OptokineticNystagmus occurswhen the eyes fixateon an object thatsuddenly moves outof sight, or when theeyes watch sharplycontrasting movingimages.

o Examples ofoptokineticnystagmusinclude watchingstrobe lights,rotating lights,or rapidlymoving traffic inclose proximity.

o The HorizontalGaze Nystagmustest will not beinfluenced byoptokineticnystagmus ifadministeredproperly.

Point out that during theHorizontal Gaze Nystagmustest, the suspect is required tofocus the eyes on a penlight,pencil or similar object thatmoves smoothly and relativelyslowly across the field of view,thus optokinetic nystagmuswill not occur.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-9

(b) PhysiologicalNystagmus is anatural nystagmusthat keeps thesensory cells of theeye from tiring. It isthe most commontype of nystagmus.

Emphasize that physiologicalnystagmus will have no impacton our standardized fieldsobriety tests, because itstremors are generally invisible.

o It happens to allof us, all thetime. This typeof nystagmusproducesextremely minortremors or jerksof the eyes.

o These tremorsare generally toosmall to be seenwith the nakedeye.

(c) Gaze Nystagmusoccurs as the eyesmove from thecenter position. Gaze nystagmus isseparated into threetypes:

(d) Horizontal GazeNystagmus occurs asthe eyes move to theside. It is theobservation of theeyes for HorizontalGaze Nystagmusthat provides thefirst and most validtest in the stand-ardized field sobri-ety testing battery.

Emphasize to participants thatthis training course isconcerned with HorizontalGaze Nystagmus and that thisprocedure has been validatedas an accurate indicator foralcohol influence by extensivescientific research.

Alcohol is a central nervoussystem depressant.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-10

Although this type ofnystagmus is mostaccurate fordetermining alcoholinfluence, itspresence may alsoindicate use ofcertain other drugs.

Examples of other drugs are: Depressants, Inhalants,October 14, DissociativeAnesthetics such as PCP andits analogs.

(e) Vertical GazeNystagmus is aninvoluntary jerkingof the eyes (up anddown) occurring asthe eyes are held atmaximum elevation.

o The presence ofthis type ofnystagmus isassociated withhigh doses ofalcohol for thatindividual andcertain otherdrugs.

NOTE: All drugs that causeHGN may also cause VGN, ifenough of the drug is taken.

For VGN to be recorded, itmust be definite, distinct andsustained for a minimum offour seconds at maximumelevation.

o The drugs thatcause VerticalNystagmus arethe same onesthat causeHorizontal GazeNystagmus.

o There is no drugthat will causeVGN that doesnot cause HGN. If VGN is pre-sent and HGN isnot, it could be amedicalcondition.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-11

(3) Nystagmus may also becaused by certainpathological disorders. They include braintumors and other braindamage or some dis-eases of the inner ear. These pathologicaldisorders occur in veryfew people and in evenfewer drivers.

Reveal the next category onSlide VIII-10.

Point out that nystagmuscaused by pathologicaldisorders is extremely rare inthe driving population. Persons suffering from thesedisorders are rarely able todrive.

4. Medical Impairment.

a. The observations that youcan make to assess possiblemedical impairment include:

o Pupil sizeo Resting Nystagmuso Tracking ability

b. Pupil Size will be affectedby some medical conditionsor injuries:

o If the two pupils aredistinctly different insize, it is possible thatthe subject has a glasseye, or is suffering froma head injury or aneurological disorder.

c. Resting Nystagmus is refer-red to as jerking as the eyeslook straight ahead. Thiscondition is not frequentlyseen. Its presence usuallyindicates a pathology orhigh doses of a drug such asa Dissociative Anestheticlike PCP.

NOTE: Resting Nystagmusmay also be a medical problem.

Although this observation is animportant medical assessment,it is NOT an HGNadministrative procedure step.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-12

d. Tracking Ability will beaffected by certain medicalconditions or injuriesinvolving the brain:

Demonstrate how to check fortracking ability.

o If the two eyes do nottrack together, thepossibility of a seriousmedical condition orinjury is present.

o By passing a stimulusacross both eyes, youcan check to see if botheyes are trackingequally.

Point out: Even though thepossibility of alcohol and/ordrug impairment exists,officers should be aware ofmedical conditions havingsymptoms in common withalcohol influence.

o If they don't (i.e., if oneeye tracks the stimulus,but the other fails tomove, or lags behind thestimulus) there is thepossibility of aneurological disorder.

See Attachment A, page 5, #33,Nystagmus Testing inIntoxicated Individuals.

o If a person has sight inboth eyes, but the eyesfail to track together,there is a possibilitythat the person is suf-fering from an injury orillness affecting thebrain.

See Attachment A, page 5, #34,Robustness of the HorizontalGaze Nystagmus Test.

Note: For further informationon drugs other than alcohol andprocedures for conducting apreliminary examination tocheck for medical impairment,injury or drug impairment, seethe curriculum packageentitled "Drugs That ImpairDriving", or “Introduction toDrugged Driving” availablefrom the NHTSA.

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Display VIII-11

5. Administrative Procedures forHorizontal Gaze Nystagmus.

It is important to administerthe Horizontal Gaze Nystagmustest systematically using thefollowing steps, to ensure thatnothing is overlooked.

Prior to administering HGN,check to see if the subject hasany eye problems or eyeabnormalities.

There are 10 steps in thesystematic administration ofthe Horizontal GazeNystagmus test.

a. Step I: Check forEyeglasses. Begin byinstructing the suspect toremove eyeglasses, if worn.

Point out that eyeglasses mayimpede the suspect's peripheralvision, and may also impedethe officer's ability to observethe eye carefully.

o It does not matterwhether the suspect cansee the stimulus withperfect clarity, as longas suspect can see it atall.

Remind participants thatnystagmus is not a vision test.

b. Step II: Verbal Instructions. Give the suspect the appro-priate verbal instructions:

o Put feet together, handsat the side.

o Keep head still

Point out that officers shouldnote whether suspect sways,wobbles, etc. while trying tobalance.

o Look at the stimulus

o Follow movement of thestimulus with the eyesonly

Emphasize that these are themajor points that must beconveyed during the verbalinstructions.

o Keep looking at thestimulus until told thetest is over

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c. Step III: Positioning theStimulus. Position thestimulus approximately12-15 inches (30-38 cm) infront of suspect's nose, andslightly above eye level tocommence the test.

Resting Nystagmus may beobserved at this time. Officersshould note whether thesuspect displays RestingNystagmus.

d. Step IV: Equal Pupil Sizeand Resting Nystagmus. Check for equal pupil sizeand resting nystagmus.

Remind participants to alsocheck for resting nystagmuswhen checking for equal pupilsize.

e. Step V: Tracking. Check forequal tracking.

Move the stimulus rapidly fromcenter to far right, to far leftand back to center(approximately 2 seconds).

f. Step VI: Lack of SmoothPursuit. Check the left eyefor lack of the "SmoothPursuit" clue. If the eye isobserved to jerk whilemoving, that is one clue.

o Check the right eye forlack of the "SmoothPursuit" clue andcompare.

Remind participants to make atleast two complete passes infront of the eyes to check thisclue.

g. Step VII: Distinct andSustained Nystagmus atMaximum Deviation. Checkthe left eye for the "distinctand sustained nystagmus atmaximum deviation" clue. If the jerkiness is distinctand sustained, that is oneclue.

Emphasize that the jerkingmust be definite, distinct andsustained in order to score thisclue.

Remind participants to checkeach eye at least twice for thisclue.

o Check the right eye forthe "distinct andsustained nystagmus atmaximum deviation"

Point out that in most cases nowhite should be showing in thecorner of the eye whenobserving this clue.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-15

clue and compare.

h. Step VIII: Onset ofNystagmus Prior to 45Degrees. Check the left eyefor the "onset of nystagmusprior to 45 degrees" clue. Ifthe jerking begins prior to45 degrees, that is one clue.

Remind participants to checkeach eye at least twice for thisclue.

Point out that, for manysuspects, nystagmus clues willappear in the sequence listed.

o Check the right eye for"onset of nystagmusprior to 45 degrees" clue,and compare.

i. Step IX: Total the clues

o Maximum number ofclues possible for eacheye: 3

Also, point out that the sus-pect's performance may not beexactly identical in both eyes.

o Total maximum numberof clues possible for botheyes: 6

That is, as BAC increases,many people first showinability of smooth pursuit,then show distinct jerkiness atmaximum deviation, andfinally show an onset within 45degrees. However, that maynot be true in all cases: theclues may develop in virtuallyany sequence, in any particularsuspect.

j. Step X: Check for VerticalNystagmus.

It is possible that all threeclues definitely will be found inone eye, while only two (orsometimes only one) will showup in the other eye. It isalways necessary to check botheyes, and to check themindependently.

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Notwithstanding, it is unlikelythat the eyes of someone underthe influence of alcohol willbehave totally different.

Thus, if one eye shows all threeclues distinctly while the othereye gives no evidence of nystag-mus, the person may be suffer-ing from one of the pathologicaldisorders covered previously.

Display VIII-12

6. Clues for Horizontal GazeNystagmus.

a. When we administer theHorizontal Gaze Nystagmustest, we look for threespecific clues as evidence ofalcohol influence.

b. We check each eye

independently for each clue.

c. For standardization, beginwith the subject's left eye. Check for the first clue.Next, check right eye forsame clue. Repeat thisprocedure for each cluestarting with left eye, thenright eye. Compare anddocument the results.

It is important thatparticipants start with thesubject’s left eye first. Thencheck the right eye for thesame clue. This procedureshould be used for all threeclues.

Remind the participants tocheck each eye twice for eachclue.

d. When we are checking aneye, it is good practice toadminister the test by-the-numbers each time, to makesure that no step isoverlooked.

EMPHASIZE THAT:OFFICER SAFETY IS OFKEY IMPORTANCE WHENADMINISTERING THESETESTS.

Aids Lesson Plan Instructor Notes

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Display VIII-13

e. Clue No. 1: Lack of SmoothPursuit.

o The first clue requiresthat the suspect movethe eye to follow themotion of a smoothlymoving stimulus.

Emphasize that suspect mustkeep the head still and followthe stimulus with the eyesonly.

o The stimulus may be theeraser on a pencil, thetip of a penlight, the tipof your finger, or anysimilar small object.

Emphasize here that it is bestto use a stimulus whichcontrasts with the background.

o Begin by holding thestimulus approximately12-15 inches (30-38 cm)in front of the suspect'snose, and slightly higherthan the level of thesuspect's eye.

Point out that when stimulusslightly higher than eye level,suspect will have to open eyeswide to focus on it. Wide-openeyes make it easier to see thenystagmus.

o Move the stimulussmoothly all the way outto the right (checkingsuspect's left eye first)then move the stimulussmoothly all the wayacross the suspect's faceto the left side (checkingthe suspect's right eye),then back to center.

o Make at least twocomplete passes withthe stimulus.

Analogy: movement of a non-impaired person's eye will besimilar to the movement of amarble rolling across a polishedpane of glass (i.e., frictionless),or the movement of windshieldwipers across a wet windshieldversus a dry windshield.

o If a person is notimpaired, the eyesshould move smoothlyas the object is movedback and forth.

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o If the person is impairedby alcohol and/or someother drugs, the eyeshould jerk noticeably asit moves back and forth.

Analogy: movement of animpaired person's eyes will besimilar to a marble rollingacross a sheet of sandpaper(encountering resistance,friction), or the movement ofwindshield wipers across a wetwindshield versus a drywindshield.

Note: This will also be seenwith certain categories ofdrugs.

(1) The Mechanics of ClueNumber 1.

o It is necessary to

move the objectsmoothly in order tocheck the eye’sability to pursuesmoothly.

o The stimulus shouldbe moved from cen-ter position, all theway out to the rightside (checking sub-ject's left eye) wherethe eye can go nofurther, and then allthe way back acrosssubject's face all theway out to the leftside where the eyecan go no further

Demonstrate.

(checking subject'sright eye) and thenback to the center.

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o The object must bemoved steadily, at aspeed that takesapproximately 2seconds to bring theeye from center toside.

Point out that the stimulusshould be moved at a speedthat requires approximatelytwo seconds to bring it from thecenter out all the way to theright side. It should bereturned toward the subject'snose at the same speed.

o A good practice is tohold the elbow stiff,but slightly bent,and to pivot theentire arm from theshoulder.

Demonstrate.

o In checking for thisclue, make at leasttwo complete passesin front of the eyes.

Demonstrate.

o If you are still notable to determinewhether or not theeye is jerking as itmoves, additionalpasses may be madein front of the eyes.

(2) Live Demonstration ofthe Mechanics of ClueNo. 1.

Solicit a participant toparticipate in the livedemonstration.

Station the participant-subjectin a position where the eyescan easily be seen by the class. (It may be necessary to conductthe demonstration at two ormore locations in the class topermit all to see.)

o Position stimulusapproximately 12-15inches (30-38 cm) in

Articulate each step in theprocedural mechanics aloud.

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HS 178 R2/06 VIII-20

front of nose,slightly higher thaneye level.

o Stimulus is movedsmoothly from cen-ter all the way out tothe right (checkingsubject's left eye),back across subject'sface all the way tothe left side(checking subjectright eye) then backto center.

Point out how the arm is heldto ensure smooth movement.

o A second pass isconducted the sameas the first.

Point out that each pass takesthe eye as far to the side as itcan go.

o On each pass, thearm is movedsmoothly, and theeye is taken as far tothe side as possible.

Point out that it takes approxi-mately 2 seconds to move theobject from center to the side asfar as the eye can go. Solicit participants' questionsconcerning the proceduralmechanics for Clue No. 1.

(3) Participant practice ofthe mechanics of ClueNo. 1.

o Practice in groups oftwo or three, takingturns.

Instruct each participant topractice conducting the test ofsmooth pursuit, using anotherparticipant as a subject.

Remind participants that theyare to make at least twocomplete passes in front of theeyes.

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o Coaching andcritiquingparticipants'practice.

Common initial mistakes tonote and correct: o Holding object too close to (or

too far from) subject's eyes;

o Moving object too slowly (ortoo quickly) toward the side;

o Failing to move object farenough to the side to bringeye to maximum deviation.

o Curving downward andcurving around. Note: Encourage participants topractice this procedure usinga flat surface such as a wallfor a guide.

o Participant-leddemonstration.

Choose a participant whoappears to be doing a good jobin carrying out the proceduralmechanics of Clue No. 1, andhave that participant comeforward with a subject todemonstrate the mechanics tothe class.

Resume participant practiceand allow it to continue untilall participants appearreasonably proficient incarrying out the mechanics ofClue No. 1.

Display VIII-14

f. Clue No. 2: Distinct andSustained Nystagmus atMaximum Deviation.

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o Once you have com-pleted the check forsmooth pursuit, you willtest the eyes for distinctand sustained nystag-mus when the eye isheld at maximum devi-ation, beginning withthe subject's left eye.

(1) The Mechanics of ClueNumber 2.

o Once again, positionthe stimulus approxi-mately 12-15 inches(30-38 cm) in front ofsubject's nose.

Demonstrate

o Move the stimulus offto the right side(checking suspect'sleft eye) until the eyehas gone as far aspossible.

Demonstrate holding thestimulus steadily off to theside.

o Hold the stimulussteady at that posi-tion for a minimum offour (4) seconds, andcarefully watch theeye.

o Then, move thestimulus back acrossthe subject's face allthe way out to theleft side (subject'sright eye).

Point out that four (4) secondsis a relatively long period oftime. You cannot simply holdthe eye to the side for aninstant, and expect to observedistinct jerking.

Note: Four seconds will notcause fatigue nystagmus. Thistype of nystagmus may begin ifa subject’s eye is held atmaximum deviation for morethan 30 seconds.

o Hold the stimulussteady and carefullywatch the eye.

Repeat this step.

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HS 178 R2/06 VIII-23

o If the person isimpaired, the eye islikely to exhibit defi-nite, distinct andsustained jerkingwhen held at maxi-mum deviation for aminimum of 4seconds.

Emphasize this point.

o In order to "count"this clue as evidenceof impairment, thenystagmus must bedistinct and sus-tained for a mini-mum of 4 seconds.

ONCE AGAIN, EMPHASIZEOFFICER SAFETY.

o If you think you seeonly slight nystag-mus at this stage ofthe test, or if youhave to convinceyourself that nystag-mus is present, thenit isn't really there.

(2) Live Demonstration ofthe Mechanics of ClueNo. 2.

o Stimulus initiallypositioned approxi-mately 12-15 inches(30-38 cm) in front ofthe participant-subject's nose,slightly higher thaneye level.

o Stimulus moved tothe side, drawingthe eye to its maxi-mum deviation.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-24

o Hold the stimulussteady at that pointfor a minimum of 4seconds, to deter-mine whether or notthere is distinct andsustainednystagmus.

Solicit a participant toparticipate in the livedemonstration.

o Then, move thestimulus back acrossthe subject's face allthe way out to theleft side (subject'sright eye).

o Hold the stimulussteady and carefullywatch the eye.

Station the participant-subjectin a position where eyes canreadily be seen by the class. (Itmay be necessary to conductthe demonstration at two ormore locations in the class.)

Articulate each step in theprocedural mechanics aloud.

o Hold the stimulussteady at that pointfor a minimum of 4seconds to deter-mine whether or notthere is distinct andsustainednystagmus.

(3) Participant practice ofthe mechanics of ClueNo. 2.

o Practice in groups oftwo or three, takingturns.

Instruct each participant topractice conducting the test ofmaximum deviation, usinganother participant as asubject.

o Coaching andcritiquingparticipants'practice.

Common initial mistakes tonote and correct: o not bringing the eye

sufficiently far to the side(some white still showing).

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-25

o not holding the objectsteadily for at least fourseconds, at maximumdeviation.

o Participant-ledDemonstrations

Allow participant practice tocontinue until all participantsappear reasonably proficient incarrying out the mechanics ofClue No. 2.

Solicit participants' questionsconcerning the proceduralmechanics for Clue No. 2.

Display VIII-15

g. Clue No. 3: Onset ofNystagmus Prior to 45Degrees.

o Once again, position thestimulus approximately12-15 inches (30-38 cm)in front of subject's nose.

EMPHASIZE OFFICERSAFETY.

o The angle of onset ofnystagmus is simply thepoint at which the eye isfirst seen jerking.

o Generally speaking, thehigher the BAC, thesooner the jerking willstart as the eye movestoward the side.

Examples: With someone at avery high BAC (0.20+), thejerking might begin almostimmediately after the eyestarts to move toward the side. For someone at 0.08 BAC, thejerking might not start untilthe eye has moved nearly to the45 degree angle.

o If the jerking beginsprior to 45-degrees, thatperson’s BAC could be0.08 or above.

REMIND PARTICIPANTSTHAT THEADMINISTRATION OF HGNIS NOT TO BE USED TOESTIMATE SPECIFIC BACLEVEL.

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o It is not difficult todetermine when the eyehas reached the 45-degree point, but it doesrequire some practice.

o If you start with thestimulus approximately12-15 inches (30-38 cm)directly in front of thenose, you will reach45-degrees when youhave moved thestimulus an equaldistance to the side.

Instruct participants thatwhatever distance you positionthe stimulus from the nose, youwill reach 45 degrees when youhave moved the stimulus anequal distance to the side. (i.e.,If you start with the stimulus12 inches from the nose, moveit 12 inches to the side.)

o Two other importantindicators can be used todetermine if the eye iswithin 45 degrees:

- at 45 degrees, somewhite usually willstill be visible in thecorner of the eye (formost people).

Point out the white showing inthe eye portrayed in SlideVIII-15. Note that somepeople's eyes may exhibit nowhite in the corner prior to45-degrees.

Point out alignment of stimulusand shoulder in Slide VIII-15.

- If you started withthe stimulus appro-ximately 12-15inches (30-38 cm) infront of the suspect,when you reach 45degrees the stimuluswill usually be linedup with, or slightlybeyond, the edge ofthe subject'sshoulder.

Point out that this latterindicator may not be valid ifthe suspect is either a verylarge or a very small person.

Remind participants to repeatthis step.

(1) The Mechanics of ClueNo. 3.

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HS 178 R2/06 VIII-27

o The stimulus ispositioned approxi-mately 12-15 inchesfrom (30-38 cm)subject's nose.

o It is necessary tomove the stimulusslowly to identify thepoint at which theeye begins to jerk.

o Start moving thestimulus towardsthe right side (lefteye) at the speedthat would takeapproximately 4seconds for thestimulus to reachthe edge of thesuspect's shoulder.

Demonstrate stopping thestimulus, and holding it steady.

o As you are slowlymoving the stimu-lus, watch the eyecarefully for anysign of jerking.

Demonstrate movement at thatspeed.

o When you see thejerking begin,immediately stopmoving the stimulusand hold it steady atthat position.

o With the stimulusheld steady, look atthe eye and verifythat the jerking iscontinuing.

Point out that nystagmusdoesn't go away once the eyestops moving. If the officeractually has found the point ofonset, the eye will continue tojerk when the stimulus is heldsteady.

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HS 178 R2/06 VIII-28

o If the jerking is notevident with thestimulus heldsteady, you have notlocated the point ofonset. Therefore,resume moving thestimulus slowlytoward the side untilyou notice thejerking again.

o When you locate thepoint of onset ofnystagmus, youmust determinewhether it is prior to45 degrees.

- Verify that somewhite is stillshowing in thecorner of the eye.

- Examine thealignmentbetween thestimulus and theedge of thesuspect'sshoulder.

o Start moving thestimulus towardsthe left side (righteye) at the speedthat would takeapproximately 4seconds for thestimulus to reachthe edge of thesuspect's shoulder.

Demonstrate stopping thestimulus, and holding it steady.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-29

o As you are slowlymoving the stimu-lus, watch the eyecarefully for anysign of jerking.

Demonstrate movement at thatspeed.

o When you see thejerking begin,immediately stopmoving the stimulusand hold it steady atthat position.

o With the stimulusheld steady, look atthe eye and verifythat the jerking iscontinuing.

o If the jerking is notevident with thestimulus heldsteady, you have notlocated the point ofonset. Therefore,resume moving thestimulus slowlytoward the side untilyou notice thejerking again.

Point out that nystagmusdoesn't go away once the eyestops moving. If the officeractually has found the point ofonset, the eye will continue tojerk when the stimulus is heldsteady.

o When you locate thepoint of onset ofnystagmus, youmust determinewhether it is prior to45 degrees.

- Verify that somewhite is stillshowing in thecorner of the eye.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-30

- Examine thealignmentbetween thestimulus and theedge of the sus-pect's shoulder.

(2) Live Demonstration ofthe Mechanics of ClueNo. 3.

Solicit a participant toparticipate in the livedemonstration.

o Stimulus initiallypositionedapproximately 12-15inches (30-38 cm) infront of participant-subject's nose,slightly higher thaneye level.

Station the participant-subjectin a position whereparticipant's eyes can readilybe seen by the class. (It may benecessary to conduct thedemonstration at two or morelocations.)

o Slowly move thestimulus toward theside, watching theeye for nystagmus.

o Stop the stimulusand hold it steadywhen nystagmus isfirst observed.

Articulate each step in theprocedural mechanics aloud.

o Verify that the jerk-ing is continuing.

o Now determinewhether the onset ofnystagmus is priorto 45 degrees.

- is there whitestill showing inthe corner of theeye?

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HS 178 R2/06 VIII-31

- is the stimuluswithin or onlyslightly beyondthe edge of theshoulder?

Solicit participants' questionsconcerning the proceduralmechanics for Clue No. 3.

(3) Participant practice ofthe mechanics of ClueNo. 3.

o Practice in groups oftwo or three, takingturns.

Remind participants to movestimulus slowly.

o Coaching andcritiquingparticipantspractice.

Instruct each participant topractice conducting the test foronset of nystagmus prior to 45degrees, using anotherparticipant as the subject.

Common mistakes to note andcorrect.

o Incorrect position ofstimulus.

o Moving stimulus too fast.

o Participant-leddemonstration.

Display VIII-16

7. Training Aid: The 45 DegreeTemplate

a. A training aid has beenprovided to help youpractice estimating a 45degree angle.

b. The outline of a square,with its diagonal line, givesus a 45 degree angle.

Instruct participants to removetheir copies of the templatefrom their participant manualswhich is located at the back ofSession VIII in Attachments.

c. This outline, or template, isprovided for practice only.

Demonstrate proper placementof the template.

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HS 178 R2/06 VIII-32

It is not to be used with actualDWI suspects.

d. To use the template, haveyour training partner holdthe corner of the squareunder the nose.

Demonstrate placement of thepencil or penlight.

e. When you line up yourstimulus with the diagonalline, your partner will belooking along a 45 degreeangle.

8. Participant practice with 45degree Template.

a. Practice in groups of two orthree, taking turns.

Instruct participants to beginby lining the stimulus up withthe diagonal, so they canbecome familiar with theposition of an eye at a 45degree angle.

Point out the amount of whiteshowing in the corner of an eyeat 45 degrees.

Next, instruct each participantto attempt to locate the 45degree point without using thetemplate, then to raise thetemplate to check the accuracyof the estimate.

b. Coaching and critiquingparticipants' practice.

Common initial mistakes tonote and correct:

o Failing to check for white inthe corner of the eye.

o Failing to check alignment ofobject with shoulder.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-33

o Tending to stop short of 45degrees.

c. Participant-leddemonstration.

Choose a participant whoappears to be doing a good jobin estimating a 45 degreeangle, and have the participantcome forward to demonstrate tothe class.

Resume participant practice,and allow it to continue untilall participants appearreasonably proficient incarrying out the mechanics ofClue No. 3.

Display VIII-17

9. Test Interpretation.

a. Based upon the originaldevelopmental research intoHorizontal GazeNystagmus, the criterion forthis test is 4.

b. If a person exhibits at least4 out of the possible 6 clues,the implication is a BACabove 0.10.

c. Using this criterion, the testis 77% accurate.

Note: Remind participants thatthe SFST field evaluation studyconducted in San Diego in 1998indicated that “HGN alone canprovide valid indications tosupport arrest decisions at 0.08BAC.”

10. Test Demonstration. Choose a participant to serveas a demonstration subject.

Conduct a complete test of thatparticipant-subject,articulating every step in thetesting sequence (slide VIII-15should be redisplayed duringthis demonstration).

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-34

Upon completion of thedemonstration, solicit stu-dents' questions concerningHorizontal Gaze Nystagmus.

If time permits, conductanother complete demonstra-tion of HGN, using anotherparticipant.

5 Minutes

D. Vertical Gaze Nystagmus

Display VIII-18

1. The Vertical Gaze Nystagmustest is easy to administer.

o Position the stimulushorizontally, approximately12-15 inches (30-38 cm) infront of the subject's nose.

o Instruct the subject to holdthe head still, and follow thestimulus with the eyes only.

Point out that verticalnystagmus was not examinedin the original research that ledto the validation of theStandardized Field SobrietyTest battery (Horizontal GazeNystagmus, Walk-and-Turnand One-Leg Stand).

o Raise the stimulus until thesubject's eyes are elevatedas far as possible. Hold forapproximately 4 seconds.

Select a participant or anotherinstructor to serve as a subjectand demonstrate the verticalnystagmus test.

Remind the participants tomake two checks for VerticalGaze Nystagmus.

o Watch the eyes closely forjerking as they are held atmaximum elevation.

For VGN to be recorded, itmust be distinct and sustainedfor a minimum of four secondsat maximum elevation.

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HS 178 R2/06 VIII-35

2. Vertical Gaze Nystagmus maybe present in subjects under theinfluence of high doses ofalcohol for that individual, andsome other drugs.

45 Minutes

E. Walk-and-Turn

Display VIII-19

1. Review of Divided AttentionDefinition.

a. Walk-and-Turn is a fieldsobriety test based on theimportant concept of divided attention.

b. The test requires thesuspect to divide attentionamong mental tasks andphysical tasks.

Selectively display overhead.

Pose this question: "What do we mean by'divided attention'?"

Lead the discussion, as theseitems were previouslyidentified in Session VII.

c. The mental tasks includecomprehension of verbalinstructions; processing ofinformation; and, recall ofmemory.

d. The physical tasks includebalance and coordination;the suspect is required tomaintain balance andcoordination while standingstill, walking, and turning.

Remind participants that priorto administering this test, askthe subject if they have anyphysical problems ordisabilities.

2. Test Stages

a. The Walk-and-Turn test hastwo stages, the instructionsstage and the walking stage.

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HS 178 R2/06 VIII-36

b. Both stages are essentialparts of the test.

c. Important evidence ofimpairment often comes tolight during both stages.

3. Test Requirements

a. The test requires thesuspect to take nine heel-to-toe steps in a straight line;to turn around in aprescribed manner; and, toreturn nine heel-to-toe stepsalong the line.

b. This test should beconducted on a reasonablydry, hard, level, non-slippery surface.

NOTE: Standardizing this testfor every type of road conditionis unrealistic. The originalresearch study recommendedthat this test be performed on adry, hard, level, nonslipperysurface and relatively safeconditions. If not, the researchrecommends: 1) suspect beasked to perform the testelsewhere; or 2) only HGN beadministered. However, recentfield validation studies haveindicated that varying environ-mental conditions have notaffected a suspect’s ability toperform this test.

c. The line should be longenough to permit thesuspect to take nine heel-to-toe steps along it.

NOTE: Suspects with heels 2"or higher should be given theopportunity to remove theirfootwear.

d. If a line is not available, theofficer may create a line.

NOTE: If no line exists, it isacceptable to have a suspectwalk an imaginary line.

4. Demonstration of theInstructions Stage.

When demonstrating theinstructions stage, it is veryimportant that the participantsbe able to see the instructor'sfeet. It may be necessary todemonstrate at severallocations in the classroom.

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Remind participants ofofficer safety precautions.

o keep suspect on leftside when initiatingdemonstrations

o never turn back onsuspect

o aware of surround-ings (environment)

o left handed officersshould demonstratetest at a distance morethan arm’s length

a. FOR STANDARDIZATIONPURPOSES, instructsuspects to place left foot onthe line first.

Demonstrate placement of bothfeet.

b. Then instruct suspects toplace their right foot on theline, ahead of the left foot,with heel of right againstthe toe of left.

c. Tell suspect to place armsdown at sides.

Demonstrate placement ofarms at sides.

d. Tell suspect to maintainthat position until you havecompleted the instructions.

e. Inform suspect not to beginwalking until told to do so.

f. At this point, ask suspect: “Do you understand?”

Emphasize that officer mustreceive some affirmativeresponse before continuing.

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g. Although this position is nota stance that people nor-mally will take of their ownchoosing, it is not difficultfor an unimpaired person tomaintain this stance, evenfor several minutes.

h. People who are impairedcan maintain this stance ifthey concentrate their fullattention on it.

i. When you are with asuspect who appears to beimpaired, you may see thefollowing behaviors duringthe instructions stage.

NOTE: An impaired personcannot concentrate their fullattention on maintaining thestance. They also have tolisten to and comprehend yourinstructions.

o Fail to maintain heel-to-toe stance.

Demonstrate.

o Starts walking beforecommanded.

Demonstrate.

j. Impaired suspects may con-centrate so much on main-taining balance there islittle or no comprehension ofthe subsequent instructions.

Instructor may break awayfrom the heel-to-toe stance atthis point.

5. Demonstration of the WalkingStage.

a. Walking stage requires nineheel-to-toe steps along theline, a turn, and nine stepsback along the line.

b. While walking, keep thearms at the sides, count thesteps out loud, and keepwatching the feet.

A straight line must beavailable for this andsubsequent demonstrations.

A 10-12 foot strip of maskingtape on the floor of the class-room will prove suitable.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-39

c. Execute Walk-and-Turn. Instructor's demonstration. (repeat if necessary)

Display VIII-20

6. Walk-and-Turn AdministrativeProcedures

a. Initial verbal instructions

o Tell suspect to assumethe heel-to-toe stance(left foot on line, thenright foot on line, aheadof left).

Selectively reveal majorsections of overhead.

NOTE: FOR STANDARDI-ZATION PURPOSES, suspectis told to place left foot on linefirst, then right foot on line,ahead of left in a heel-to-toeposition.

o Tell suspect to placearms down at sides.

o Tell suspect not to startwalking until told to doso.

o Make sure suspect un-derstands instructions.

b. Description of basic testrequirements.

o Tell suspect to take nineheel-to-toe steps on theline, to turn around,keeping one foot on theline, and to return nineheel-to-toe steps.

Stress that officers shouldnever turn their backs onsuspects while demon-strating. Instead, theyshould walk at right angleto the line, keeping theweapon away from thesuspect.

o Demonstrate what youmean by walking heel-to-toe. (3 steps sufficefor the demonstration)

c. Description of turnprocedures.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-40

o Tell suspect that, on theninth step, keep thefront foot on the line,and turn by takingseveral small steps withthe other foot.

NOTE: This turn procedure isprovided in order tostandardize the turn describedin the study and for suspects’safety.

o Demonstrate the turnfor the suspect.

Stress that, when demon-strating the turn, officersshould stand at right angleto the line with the suspectto their left. Then, they canturn on the left leg withoutever turning their backs tothe suspect.

NOTE: Difference for left-handed officers.

d. Final verbal instructions.

o Tell suspect that, whilewalking, to watch feet atall times.

o Tell suspect to keeparms at sides at alltimes.

o Tell suspect to countsteps out loud.

NOTE: The final verbalinstructions are provided tofurther standardizeadministration of the testdescribed in the study.

o Tell suspect that, oncethe walking begins, notto stop until the test iscompleted.

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HS 178 R2/06 VIII-41

o Ask if suspect under-stands the instructions.Point out that, if suspectdoesn't understand somepart of the instructions,officer should repeatonly that part whichsuspect doesn'tunderstand.

Solicit participants' questionsconcerning the Walk-and-Turnadministrative procedures.

Select a participant toparticipate as a subject in thedemonstration.

7. Demonstration of Walk-and-Turn AdministrativeProcedures.

Use precise language to directthe participant-subject toassume the instructions stance.

a. Tell the participant-subjectto assume the instructionsstance.

b. Tell the participant-subjectnot to start walking untiltold to do so.

Make sure directions areunderstood.

c. Tell the participant-subjectof the requirement to takenine heel-to-toe steps, toturn, and to take anothernine heel-to-toe steps.

Demonstrate severalheel-to-toe steps.

d. Tell the participant-subjectof the required turnprocedures. Demonstratethe proper turn.

Demonstrate the turn.

e. Give the participant-subjectthe final verbal instructions:

o Keep watching feet o Count steps out loud o Arms at sides o Don't stop walking until

test is completed.

f. Ask participant-subject ifinstructions are understood.

Clarify any parts that are notunderstandable.

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HS 178 R2/06 VIII-42

At this point, do not instructthe participant-subject toexecute the test. Rather, thankthe participant-subject forparticipating and allow theparticipant to return to theseat.

Solicit participants' questionsconcerning the testadministrative procedures.

Display VIII-21

8. Clues for Walk-and-Turn Test

a. When administering theWalk-and-Turn test, we lookfor certain specificbehaviors, at certain timesin the test.

Selectively reveal majorsections of overhead.

b. Each behavior, or action, isconsidered as one clue.

c. There is a maximum ofeight clues on this test.

d. The first two clues arechecked during theinstructions stage.

Reveal the first major section ofslide VIII-21.

o Can't balance duringinstructions.

Emphasize that this clue isrecorded only if the feetactually break apart.

Note: During the instructionsstage, do not record the cluesimply because suspect raisesarms or wobbles slightly.

Demonstrate actions that con-stitute "can't balance duringinstructions", and demonstrateother actions that do not justifyrecording this clue.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-43

o Starts too soon. Emphasize that this clue can'tbe recorded unless suspect wastold not to start walking untildirected to do so.

Stress to the participants thatthese first two clues, like allclues in this test, can beaccumulated only once.

Example: if the suspect losesbalance twice during theinstructions stage, it still onlyconstitutes one clue.

However: on the standard notetaking guide, record how manytimes each clue was observed.

e. The next four clues arechecked while the suspect iswalking, either up or downthe line.

Reveal the next major sectionof slide VIII-21.

o Stops while walking(pauses to regainbalance).

Emphasize that it is because ofthis clue that it is important toinform the suspect not to stopwalking once the test begins.

o Misses heel-to-toe.

o Steps off the line.

Point out that a gap of at leastone-half inch is necessary torecord this clue.

o Uses arms to balance. Point out that a movement ofthe arms of six or more inchesfrom the side is required torecord this clue.

Demonstrate each of theseclues.

Point out that it is oftenpossible to note two of theseclues simultaneously.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-44

Examples: (Demonstrate)

o pauses while walking andsimultaneously raises arms.

o misses heel-to-toe andsimultaneously stopswalking.

Reveal the next item on slideVIII-21.

f. The next clue is an improperturn. This clue should berecorded if the suspect:

Reveal the next item on slideVIII-21.

o Loses balance on turn(staggers, stumbles,etc.); or,

o Turns other than theway officerdemonstrated.

Demonstrate various ways of"turning incorrectly" (i.e.,pivots, spins).

g. The next clue is checked onthe basis of the number ofsteps that the suspectactually takes.

Reveal the next item on slideVIII-21.

o If the suspect takesother than nine steps, ineither direction, it isconsidered only one clue.

Emphasize that it is the num-ber of steps that the suspectphysically takes that mattershere. Mistakes in the verbalcount do not justify recordingthis clue.

h. The test may be terminatedif the suspect cannot safelycomplete it. For example:

Reveal the last item on slideVIII-21.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-45

o Suspect steps off the linethree or more times.

o Suspect nearly falls.

NOTE: If suspect can't do thetest, record observed clues anddocument the reason for notcompleting the test, e.g.suspect’s safety.

Emphasize that officers shouldbe prepared to explain in courtwhy the suspect could notcomplete the test.

Remember that the SFSTs area tool to assist you in seeingvisible signs of impairment andnot a pass/fail test.

o Suspect gets into a "leg-lock" position (legscrossed, unable to move)

Demonstrate "leg-lock".

Emphasize that the test shouldbe stopped if unsafe for thesuspect.

Solicit participants' questionsconcerning the Walk-and-Turnclues.

Display VIII-22

9. Walk-and-Turn TestInterpretation

a. Based on the originaldevelopmental research intothe Walk-and-Turn test, thecriterion for this test is 2.

b. If a person exhibits at least2 out of the possible 8 clues,the implication is that thesuspect has a BAC above0.10.

c. Using that criterion, thistest is 68% accurate.

Based on the original research.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-46

d. Restrictions. NOTE: The originalresearch indicated thatindividuals over 65 years ofage had difficultyperforming this test.

10. Test Demonstrations Choose a participant to serveas a demonstration subject.

Conduct a complete test of theparticipant-subject, carefullycarrying out all of the admini-strative procedures. (SlideVIII-20 should be redisplayedduring the demonstration.)

Have the participant-subjectactually perform the walkingstage of the test.

Discuss theparticipant-subject'sperformance in terms of thetest scoring factors. (SlideVIII-25 should be redisplayedduring this discussion.)

If time permits, conductanother demonstration usinganother participant-subject.

5 Minutes

F. Combining the Clues of TheHorizontal Gaze Nystagmusand Walk-and-Turn.

1. Based on the original researchyou will be 80% accurate inclassifying suspects that areabove 0.10.

NOTE: A combination of four ormore clues of HGN and two ormore clues of the Walk-and-Turn, suspects can be correctlyclassified as above 0.10 BAC80% of the time.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-47

35 Minutes

G. One-Leg Stand

Display VIII-23

1. Review of Divided Attentiondefinition

a. One-Leg Stand is anotherfield sobriety test thatemploys divided attention.

Selectively display slide.

b. The suspect's attention isdivided among such simpletasks as balancing, listen-ing, and counting out loud.

c. Although none of these isparticularly difficult initself, the combination canbe very difficult for someonewho is impaired.

Remind participants that priorto administering this test,check if the subject has anyphysical problems ordisabilities.

2. Test Stages.

a. Like all divided attentiontests, One-Leg Stand hastwo stages.

b. They are the instructionsstage and the balance andcounting stage.

c. Both stages are important,because they can affect thesuspect's overallperformance on the test.

Selectively display remainderof slide.

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HS 178 R2/06 VIII-48

3. Test Requirements.

a. The test requires thesuspect to stand on one leg,with the other leg held outstraight, approximately sixinches (15 cm) off theground, for 30 seconds.

b. This test should beconducted on a reasonablyhard, dry, level, and non-slippery surface.

Demonstrate the One-LegStand.

NOTE: Standardizing this testfor every type of road conditionis unrealistic. The originalresearch study recommendedthat this test be performed on adry, hard, level, nonslipperysurface and relatively safeconditions. If not, the researchrecommends: 1) suspect beasked to perform the testelsewhere; or 2) only HGN beadministered.

However, recent field valida-tion studies have indicated thatvarying environmentalconditions have not affected asuspect’s ability to perform thistest.

4. Demonstration of theInstructions Stage.

a. The Instructions stage ofthis test is quite simple.

Remind participants ofofficer safety precautions.

o suspect stands with feettogether.

o suspect keeps arms atthe sides.

b. Suspect is instructed tomaintain that position untiltold otherwise.

5. Demonstration of balance andcount stage.

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HS 178 R2/06 VIII-49

a. The verbal instructions forthis test also are quitesimple.

Point out that the officer mustdemonstrate the stance.

o Suspect must raise oneleg, either leg, with thefoot approximately sixinches (15 cm) off theground, keeping raisedfoot parallel to theground.

o Suspect is told to keepboth legs straight witharms at their sides.

o Suspect is told to look atthe elevated foot.

POINT OUT THE NEED TOTIME THE 30-SECONDCOUNT. Stop test at end of 30seconds.

o Suspect is told to holdthat position whilecounting out loud in thefollowing manner: “onethousand and one, onethousand and two, onethousand and three, andso on, until told to stop.”

Point out that the 30 secondsconstitute an important featureof the test. Many impairedpersons can maintain balancefor 20-25 seconds, but seldomfor up to 30.

The suspect may be told at anytime to stop counting for theirsafety or inability to properlyperform the test.

Display VIII-24

6. One-Leg Stand AdministrativeProcedures.

a. Instructions stage.

o Stand with feettogether.

o Keep arms at side.

Selectively display slide.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-50

o Maintain position untiltold otherwise.

Display VIII-24A

b. Balance and counting stage.

o Raise one leg, either leg.

o Keep raised footapproximately 6 inches(15 cm) off the ground,foot parallel to theground.

Selectively display slide VIII-24A.

o Keep both legs straightand arms at sides.

o Keep eyes on elevatedfoot.

o Count out loud fromone-thousand-and-one,one-thousand-and-two,one-thousand-and-three,and so on until told tostop.

NOTE: Officer should alwaystime the 30 seconds. If thesuspect puts their foot down toosoon, tell suspect to keep footelevated and continue counting. If suspect counts too slow, stopthe test at 30 seconds.

7. Demonstration of the One-LegStand AdministrativeProcedures.

a. Instructions stage: tellsubject to:

o stand with feet together

o keep arms at side

o maintain that positionuntil told otherwise (askif understands)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-51

b. Balance and counting stage

o Raise one leg (eitherleg), approximately 6inches (15 cm) off theground, foot pointed out.

o Keep both legs straight.

o Keep eyes on elevatedfoot.

o While holding thatposition, count out loudin the following manner: one-thousand-one, oneto one–thousand-two,one-thousand-threeuntil told to stop.

Always ask subject if theyunderstand directions beforebeginning test.

Display VIII-25

8. Clues for the One-Leg Stand.

a. When administering theone-leg stand test, we lookfor certain specificbehaviors.

Selectively reveal contents ofslide.

b. Each behavior or action isconsidered one clue.

c. There is a maximum num-ber of 4 clues on this test.

Reveal the first item on slide.

d. The first clue is swaying. Emphasize that swaying meansa distinct, noticeable side-to-side or front-to-back movementof the elevated foot or of thesuspect's body.

Slight tremors of the foot orbody should not be interpretedas swaying.

Demonstrate swaying.

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HS 178 R2/06 VIII-52

e. The next clue is using thearms to balance.

Reveal the next item on slide.

Point out that a movement ofthe arms of six inches or morefrom the side is sufficient torecord this clue.

Demonstrate using the arms tobalance.

f. The next clue is hopping. Reveal the next item on slide.

Demonstrate hopping.

g. The next clue is putting thefoot down, before 30 secondselapse.

Reveal the next item on slide.

Demonstrate putting the footdown.

o If suspect’s foot touchesground, have suspectraise it and continuecounting until told tostop.

Emphasize some suspectscount slowly and may stand onthe leg for more than 30seconds. If suspect is countingslowly, terminate the test after30 seconds have passed.

Point out that it is possible tonote two clues simultaneously.

Examples (Demonstrate): o hopping and swaying o foot down and arms raised.

h. The test may be terminatedif the suspect cannot safelycomplete it. For example:

Reveal the last item on slide.

o Suspect puts foot downthree or more times.

o Suspect nearly falls.

NOTE: If suspect can't do thetest, record observed clues anddocument the reason for notcompleting the test, e.g.suspect’s safety.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-53

Emphasize that officers shouldbe prepared to explain in courtwhy the suspect could notcomplete the test.

Remember that the SFSTs area tool to assist you in seeingvisible signs of impairment andnot a pass/fail test.

Display VIII-26

9. Test Interpretation.

a. Based on the originaldevelopmental research forthe One-Leg Stand test, thecriterion for this test is 2.

b. If the person exhibits atleast 2 out of the possible 4clues, the implication is thatthe suspect's BAC is above0.10.

c. Using that criterion, thistest is 65% accurate.

Based on the original research.

d. Restrictions. NOTE: The originalresearch indicated thatindividuals over 65 years ofage or 50 pounds or moreoverweight had difficultyperforming this test.

10. Test Demonstrations. Choose a participant to serveas a demonstration subject.

Conduct a complete test of theparticipant-subject, carefullyarticulating the verbalinstructions.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-54

Discuss theparticipant-subject'sperformance in terms of thetest scoring factors. (SlideVIII-30 should be redisplayedduring this discussion.)

If time permits, conductanother demonstration usinganother participant-subject.

5 Minutes

H. Limitations of the ThreeTests.

1. Nystagmus limitations.

a. A small percentage of peoplemay exhibit nystagmus, dueto certain pathologicaldisorders.

b. Some suspects may exhibitHorizontal Gaze Nystagmusdue to the use of alcohol andcertain other drugs.

c. A small percentage ofindividuals may exhibitnatural nystagmus.

2. Divided Attention testlimitations.

a. Both the Walk-and-Turn

test and the One-Leg Standtest require a reasonablysmooth, level surface.

b. Persons with injuries totheir backs, legs, or innerear dis-orders, may havedifficulty with these tests orwith other balance tests.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-55

20 Minutes

I. Taking Field Notes on theStandardized Field SobrietyTests

1. For purposes of the arrest re-port and courtroom testimony, itis not enough to report thenumber of clues on the threetests.

a. The numbers are importantto the police officer in thefield, because they helpdetermine whether there isprobable cause to arrest.

b. But to secure a conviction,more descriptive evidence isneeded.

c. The officer must be able todescribe how the suspectperformed on the tests, andwhat the suspect did.

2. The standard note-taking guideis designed to help develop aclear description of the suspect'sperformance on the tests.

Instruct the participants totake out a copy of the note-taking guide to follow alongwith this discussion.

Display VIII-27

3. The section on the pre-arrestscreening appears at the bottomof the guide's front side.

a. Complete the entireprocedure for both eyes,writing "yes" or "no" for eachclue.

This slide will be left on displaythroughout the discussion.

o Write "yes" if the clue ispresent

NOTE: For standardization,test the suspect's left eye first.

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HS 178 R2/06 VIII-56

Then, check for the same cluein the right eye.

o Write "no" if the clue isnot present

Emphasize that officers mustbe careful to place their checkmarks in the columnscorresponding to the eyeactually being checked.

b. After both eyes have beencompletely checked, totalthe number of HGN cluesobserved.

Point to this item on slideVIII-27. Remind participantsthat the "number" of clues isused only for administrativepur-poses and that forcourtroom testimony acomplete descrip-tion of eachclue is essential.

c. In the section labeled"other", record any facts,circumstances, conditions orobservations that may berelevant to this procedure.

o Examples of additionalevidence of impairmentemerging while checkingfor nystagmus:

Point to this item on slideVIII-27.

Give examples of facts,circumstances, etc., that shouldbe noted in this section of thenote-taking guide (i.e., RestingNystagmus).

- suspect unable tokeep head still;

- suspect swayingnoticeably;

- suspect uttersincriminatingstatements.

Ask participants togive additionalexamples of facts,circumstances, etc.,that should be noted.

o Examples of conditionsthat may interfere withsuspect's performancewhile checking fornystagmus:

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-57

- wind, dust, etc.(irritating suspect'seyes);

- visual or otherdistractionsimpeding the test

NOTE: Always face suspectaway from flashing or strobelights.

Display VIII-28

4. The section on the Walk-and-Turn test appears at the top ofthe guide's back side.

a. First two clues are checkedonly during the instructionsstage.

This slide will be left on dis-play throughout the discussionof Walk-and-Turn scoring.

Point to the first two clues onslide VIII-28.

o In the boxes providedwrite number of timesthe clue appears duringthe instructions stage.

NOTE: Checks (T) may be usedto denote number of clues. However, always write totals(numerically) in box.

o Example: if suspectloses balance twiceduring the instructionsstage, write "2" in thatbox.

Remind participants that theclue "loses balance duringinstruc-tions" is recorded onlyif the suspect's feet "breakapart".

o Example: if the suspectdoes not start too soon,write "0" in that box.

Emphasize that participantsare never to leave a box blank: if the clue doesn't appear, theymust indicate that by writing"0".

b. Record the next four cluesseparately for each ninesteps.

Point to these items on slideVIII-28.

c. If suspect stops walking,record it by drawing avertical line across the toeat the step at which the stopoccurred. Do this for eachnine steps.

Instruct participants to place aletter “S” at bottom of verticalline to indicate “stops walking”.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-58

o How many times duringfirst nine steps;

o How many times duringsecond nine steps.

Remind participants that, ifsuspect stops walking evenonce, that will count as oneclue; but in order to prepare aclear, descriptive arrest report,it is best to document howmany times suspect pausedwhile walking.

d. If suspect fails to touch heel-to-toe, record how manytimes this happens.

e. If suspect steps off the linewhile walking, record it bydrawing a line from theappropriate footprint at theangle in the direction inwhich the foot stepped. Dothis for each nine steps.

Instruct participants to place aletter “M” at bottom of verticalline to indicate missed heel-to-toe.

f. If suspect uses arms tobalance, give someindication of how often orhow long this happens.

o Example: suspect raisedarms from sides threetimes;

Place three T (check marks) inthe box.

o Example: suspect heldarms away from sidesduring steps 3 through7;

Write "steps 3-7" in box.

o Example: suspect"flapped" armscontinuously.

Write in box.

g. Record the actual number ofsteps taken by suspect, ineach direction.

Point out that Slide VIII-28states "actual steps taken".Wrong number of steps is thevalidated clue.

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HS 178 R2/06 VIII-59

h. For the next clue, "the turn,"record a description of theturn.

o Example: turnedincorrectly;

o Example: stumbled, toleft;

o Example: wrongdirection;

o Example: no smallsteps.

i. If you terminate the testbecause the suspect "cannotperform test", indicate why.

Point to this item on slideVIII-28.

o Example: off line 3times;

o Example: staggered sixsteps to right, nearlyfell;

NOTE: Stop test for fear ofinjury to suspect.

o Example: "leg-locked"after fifth step.

j. At end of the test, examineeach factor and determinethe total number of cluesrecorded.

Remind participants that,even if a clue shows upmore than once, each clue iscounted only once.

k. In the section labeled"other", record any facts,circumstances, conditions orobservations that may berelevant to this test.

Point to this item on slideVIII-28.

o Examples of additionalevidence of impairmentemerging during Walk-

Give examples of facts,circumstances, etc., that shouldbe noted in this section of the

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-60

and-Turn test:

- suspect verballymiscounts steps;

note-taking guide.

- suspect uttersincriminatingstatements.

o Examples of conditionsthat may interfere withsuspect's performance ofthe Walk-and-Turn test:

- wind/weatherconditions;

- suspect's age;

- suspect's footwear.

Ask participants to giveadditional examples offacts, circumstances,etc., that should benoted.

NOTE: Suspects with heels 2"or higher should be given theopportunity to remove theirfootwear.

Display VIII-29

5. The section on the One-LegStand test appears midwaydown the page.

a. Record the suspect'sperformance separately.

b. For each clue, record howoften it appears.

This slide will be left on dis-play throughout the discussionof one-leg stand clue.

Point out that, by recordingwhen things happen as well aswhat happens, a moredescriptive arrest report can beprepared.

c. If suspect sways, indicatehow often with a checkmark.

d. Indicate above the feet thenumber they were countingwhen they put their footdown.

e. Check marks should bemade to indicate the

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-61

13 20

Type of Footwear

number of times the suspectswayed, used arms, hoppedor put foot down.

o Place check marks in ornear the small boxes toindicate how manytimes you observed eachof the clues.

In addition, if the sus-pect puts the foot downduring the test, recordwhen it happened. Todo this, write the countnumber at which thefoot came down.

Demonstrate the properdocumentation for observedclues.

For example, supposethat, when standing onthe left leg, the suspectlowered the right foot ata count of "one thou-sand and thirteen," andagain at "one thousandand twenty;" Yourdiagram should look likethe sketch to the right.

d. If suspect uses arms tobalance, indicate how oftenarms were raised.

e. If suspect hops, indicatehow many hops were taken.

f. If suspect puts foot down,

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-62

indicate how many timesthe foot came down.

g. If you terminate the test for"cannot perform test",indicate explicitly why youdid so.

o Example: foot down 3times;

o Example: staggeredthree steps to right,then fell;

Point to this item on slideVIII-29.

o Example: continuoushopping, flailing arms,nearly falling.

h. At end of the test, examineeach clue and determinehow many clues have beenrecorded.

Remind participants that, evenif a clue shows up more thanonce, each clue is counted onlyonce.

i. Write the number in the"total clues" box.

Point to this item on slide VIII-29. Remind participantsthat "number" of clues isutilized only foradministrative purposesand that for courtroomtestimony a completedescription of each clueobserved is essential.

j. In the section labeled"other", record any facts,circumstances, conditions orobservations that may berelevant to this test.

Point to this item on slide VIII-29.

o Examples of additionalevidence of impairmentemerging during one-legstand test:

Ask participants togive additionalexamples of facts,circumstances, etc.,

Aids Lesson Plan Instructor Notes

HS 178 R2/06 VIII-63

that should be noted.

- suspect verballymiscounts 30seconds;

- suspect uttersincriminatingstatements.

Give examples of facts,circumstances, etc., that shouldbe noted in this section of thenote-taking guide (i.e., untiedshoelaces, removed footwear,etc.).

o Examples of conditionsthat may interfere withsuspect's performance ofone-leg stand:

- wind/weatherconditions;

- suspect's age;

NOTE: Suspects with heels 2"or higher should be given theopportunity to remove theirfootwear.

Solicit participants' questionsconcerning field note taking.

- suspect's footwear.

HS 178 R2/06 VIII-64

TEST YOUR KNOWLEDGE INSTRUCTIONS: Complete the following sentences. 1. Walk-and-Turn is an example of field sobriety test. 2. The Walk-and-Turn requires a real or imaginary line and

3. During the stage of the Walk-and-Turn, the suspect is required tocount out loud.

4. Per the original research, when properly administered, the Walk-and-Turn can

determine whether a suspect's BAC is above or below 0.10, percentof the time.

5. In the Walk-and-Turn test, a suspect who steps off the line during the first 9

steps and once again during the second 9 steps and who raises arms for balancetwice during the second nine steps has produced distinct clue(s).

6. The Walk-and-Turn may not be valid when administered to persons who are

over years of age. 7. During the stage of the One-Leg Stand the suspect must maintain

balance for 30 seconds. 8. The One-Leg Stand requires that the suspect keep the foot elevated for seconds. 9. Per the original research, when properly administered, the One-Leg Stand can

determine whether a suspect's BAC is above or below 0.10, percentof the time.

10. In the One-Leg Stand test, a suspect who sways has exhibited clue(s). 11. In the One-Leg Stand test, a suspect who raises arms, hops, and puts foot down

has exhibited clue(s). 12. The maximum number of clues for Horizontal Gaze Nystagmus that can appear

in one eye is . 13. Per the original research, when properly administered, the HGN test can

determine whether a suspect's BAC is above 0.10, percent of thetime.

14. The third clue of HGN is an onset of nystagmus prior to degrees.

ATTACHMENT(S)

ATTACHMENT A

HS 178 R2/06 1

SCIENTIFIC PUBLICATIONS AND RESEARCH REPORTS ADDRESSING NYSTAGMUS

1. Aschan, Bergstedt, Goldberg & Laurell, Positional Nystagmus in Man Duringand After Alcohol Intoxication, 17 Q.J. OF STUD. ON ALCOHOL, Sept. 1956,at 381. Study distinguishing two types of alcohol-induced nystagmus, PAN(positional alcoholic nystagmus) I and PAN II, found intensity of PAN I, withonset about one-half hour after alcohol ingestion, was proportional to amountof alcohol taken.

2. Aschan, Different Types of Alcohol Nystagmus, 140 ACTA OTOLARYNGOL

SUPP. 69 (Sweden 1958) ("From a medico-legal viewpoint, simultaneousrecording of AGN (Alcohol Gaze Nystagmus) and PAN (positional alcoholicnystagmus) should be of value, since it will show in which phase the patient'sblood alcohol curve is...").

3. Rashbass, The Relationship Between Saccadic and Smooth Tracking Eye

Movements, 159 J. PHYSIOL. 326 (1961) (barbiturate drugs interfere withsmooth tracking eye movement).

4. Goldberg, Effects and After-Effects of Alcohol, Tranquilizers and Fatigue onOcular Phenomena, ALCOHOL AND ROAD TRAFFIC 123 (1963) (ofdifferent types of nystagmus, alcohol gaze nystagmus is the most easilyobserved).

5. Murphree, Price & Greenberg, Effect of Congeners in Alcohol Beverages on

the Incidence of Nystagmus, 27 Q.J. OF STUD. ON ALCOHOL, June 1966,at 201 (positional nystagmus is a consistent, sensitive indicator of alcoholintoxication).

6. Fregly, Bergstedt & Graybiel, Relationships Between Blood Alcohol,

Positional Alcohol Nystagmus and Postural Equilibrium, 28 Q.J. OF STUD.ON ALCOHOL, March 1967, at 11, 17 (declines from baseline performancelevels correlated with peak PAN I responses and peak blood alcohol levels).

7. Misoi, Hishida & Maeba, Diagnosis of Alcohol Intoxication by the Optokinetic

Test, 30 Q.J. OF STUD. ON ALCOHOL 1 (March-June 1969) (optokineticnystagmus, ocular adaptation to movement of object before eyes, can also beused to detect central nervous system impairment caused by alcohol. Optokinetic nystagmus is inhibited at BAC of only .051 percent and can bedetected by optokinetic nystagmus test. Before dosage subjects could follow aspeed of 90 degrees per second; after, less than 70 degrees per second).

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8. Nathan, Zare, Ferneau & Lowenstein, Effects of Congener Differences inAlcohol Beverages on the Behavior of Alcoholics, 5 Q.J. OF STUD. ONALCOHOL SUPP., May 1970, at 87 (abstract available on DIALOG, file 11: Psychinfo 1967-85) (incidence of nystagmus and other nystagmoidmovements increased with duration of drinking).

9. Oosterveld, Meineri & Paolucci, Quantitative Effect of Linear Acceleration onPositional Alcohol Nystagmus, 45 AEROSPACE MEDICINE, July 1974, at695 (G-loading brings about PAN even when subject has not ingested alcohol;however when subjects ingested alcohol, no PAN was found when subjectswere in supine position, even with G-force at 3).

10. Penttila, Lehti & Lonnqvist, Nystagmus and Disturbances in Psychomotor

Functions Induced by Psychotropic Drug Therapy, 1974 PSYCHIAT. FENN.315 (abstract available on DIALOG, file 173: Embase 1975-79) (psychotropicdrugs induce nystagmus).

11. Wilkinson, Kime & Purnell, Alcohol and Human Eye Movement, 97 BRAIN

785 (1974) (oral dose of ethyl alcohol impaired smooth pursuit eye movementof all human subjects).

12. Aschan & Bergstedt, Positional Alcoholic Nystagmus in Man FollowingRepeated Alcohol Doses, 80 ACTA OTOLARYNGOL SUPP. 330 (Sweden1975) (abstract available on DIALOG, file 173: Embase 1975-79) (degree ofintoxication influences both PAN I and PAN II).

13. Lehti, The Effect of Blood Alcohol Concentration on the Onset of Gaze

Nystagmus, 136 BLUTALKOHOL 414 (West Germany 1976) (abstractavailable on DIALOG, file 173: Embase 1975-79) (noted a statistically highlysignificant correlation between BAC and the angle of onset of nystagmuswith respect to the midpoint of the field of vision).

14. Zyo, Medico-legal and Psychiatric Studies on the Alcohol Intoxicated

Offender, 30 JAPANESE J. OF LEGAL MED., No. 3, 1976, at 169 (abstractavailable on DIALOG, file 21: National Criminal Justice Reference Service1972-85) (recommends use of nystagmus test to determine somatic andmental symptoms of alcohol intoxication as well as BAC).

15. Burns & Moskowitz, Psychophysical Tests for DWI Arrest, U.S. Dept. ofTransportation Rep. No. DOT-HS-802-424 (1977) (recommended thethree-test battery developed by SCRI (one-leg stand, walk and turn, andHGN) to aid officers in discriminating BAC level).

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16. Umeda & Sakata, Alcohol and the Oculomotor System, 87 ANNALS OFOTOLOGY, RHINOLOGY & LARYNGOLOGY, May-June 1978, at 392 (involunteers whose "caloric eye tracking pattern" (CETP) was normal beforealcohol intake, influence of alcohol on oculomotor system appearedconsistently in the following order: (1) abnormality of CETP, (2) positionalalcohol nystagmus, (3) abnormality of eye tracking pattern, (4) alcohol gazenystagmus).

17. Baloh, Sharma, Moskowitz & Griffith, Effect of Alcohol and Marijuana on

Eye Movements, 50 AVIAT. SPACE ENVIRON. MED., Jan 1979, at 18(abstract available on DIALOG, file 153: Medline 1979-79) (smooth pursuiteye movement effects of alcohol overshadowed those of marijuana).

18. Savolainen, Riihimaki, Vaheri & Linnoila, Effects of Xylene and Alcohol on

Vestibular and Visual Functions in Man, SCAND. J. WORK ENVIRON.HEALTH 94 (Sweden 1980) (abstract available on DIALOG, file 172: Embase 1980-81 on file 5: Biosis Previews 1981-86) (the effects of alcohol onvestibular functions (e.g., positional nystagmus) were dose-dependent).

19. Tharp, Burns & Moskowitz, Circadian Effects on Alcohol Gaze Nystagmus(paper presented at 20th annual meeting of Society for PsychophysiologicalResearch), abstract in 18 PSYCHOPHYSIOLOGY, March 1981 (highlysignificant correlation between angle of onset of AGN and BAC).

20. Tharp, Burns & Moskowitz, Development and Field Test of Psychophysical

Tests for DWI Arrests, U.S. Dept. of Transportation Rep. No.DOT-HS-805-864 (1981) (standardized procedures for administering andscoring the SCRI three-test battery; participating officers able to classify 81%of volunteers above or below .10).

21. Church & Williams, Dose- and Time-Dependent Effects of Ethanol, 54ELECTROENCEPHALOGRAPHY & CLIN. NEUROPHYSIOL., Aug. 1982,at 161 (abstract available on DIALOG, file 11: Psychinfo 1967-85 or file 72: Embase 1982-85) (positional alcohol nystagmus increased with dose levels ofethanol).

22. Anderson, Schweitz & Snyder, Field Evaluation of Behavioral Test Batteryfor DWI, U.S. Dept. of Transportation Rep. No. DOT-HS-806-475 (1983) (fieldevaluation of the field sobriety test battery (HGN, one-leg stand, and walkand turn) conducted by police officers from four jurisdictions indicated thatthe battery was approximately 80% effective in determining BAC above andbelow .10 percent).

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23. Barnes, The Effects of Ethyl Alcohol on Visual Pursuit and Suppression ofthe Vestibulo-Ocular Reflex, 406 ACTA OTOLARYNGOL SUPP. 161 (Sweden1984) (ethyl alcohol disrupted visual pursuit eye movement by increasingnumber of nystagmic "catch-up saccades").

24. Compton, Use of the Gaze Nystagmus Test to Screen Drivers at DWI

Sobriety Checkpoints, U.S. Dept. of Transportation (1984) (field evaluation ofHGN test administered to drivers through car window in approximately 40seconds: "the nystagmus test scored identified 95% of the impaired drivers"at 2; 15% false positive for sober drivers, id.).

25. Helzer, Detection DUIs Through the Use of Nystagmus, LAW AND ORDER,Oct. 1984, at 93 (nystagmus is "a powerful tool for officers to use at roadsideto determine BAC of stopped drivers...(O)fficers can learn to estimate BACsto within an average of 0.02 percent of chemical test readings." Id. at 94).

26. Nuotto, Palva & Seppala, Naloxone Ethanol Interaction in Experimental andClinical Situations, 54 ACTA PHARMACOL. TOXICOL. 278 (1984) (abstractavailable on DIALOG, file 5: Biosis Previews 1981-86) (ethanol alonedose-dependently induced nystagmus).

27. L.R. Erwin, DEFENSE OF DRUNK DRIVING CASES (3d ed. 1985) ("Astrong correlation exists between the BAC and the angle of onset of (gaze)nystagmus." Id. at 8.15A(3).

28. Norris, The Correlation of Angle of Onset of Nystagmus With Blood Alcohol

Level: Report of a Field Trial, CALIF. ASS'N CRIMINALISTICSNEWSLETTER, June 1985, at 21 (The relationship between the ingestion ofalcohol and the inset of various kinds of nystagmus "appears to be welldocumented." Id. "While nystagmus appears to be useful as a roadsidesobriety test, at this time, its use to predict a person's blood alcohol level doesnot appear to be warranted." Id. at 22).

29. Seelmeyer, Nystagmus, A Valid DUI Test, LAW AND ORDER, July 1985, at

29 (horizontal gaze nystagmus test is used in "at least one law enforcementagency in each of the 50 states" and is "a legitimate method of establishingprobable cause." Id.).

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30. Burns & Anderson, Field Evaluation Study of the Standardized FieldSobriety Test (SFST) Battery, (Colorado, 1995). Study examined theaccuracy of police arrest and release decisions under roadside conditionswhere trained and experienced officers rely on the SFSTs. Breath and bloodtests supported 94% of the decisions to arrest. PBT measurements indicated64% correct release decisions.

31. Burns & Dioquino, Field Evaluation Study of the Standardized Field SobrietyTest (SFST) Battery, (Florida, 1997). Study demonstrated that officerstrained under NHTSA guidelines and experienced in application of the SFSTbattery in the field were accurate in 95% of arrest decisions and 85% ofrelease decisions.

32. Stuster & Burns, Validation of the Standardized Field Sobriety Test Batteryat BACs Below 0.10 Percent, U.S. Dept. of Transportation Rep. No. DOT-HS-808-839 (1998). Study found NHTSA’s Standardized Field Sobriety testbattery to be an accurate method of discriminating motorist’s BACs aboveand below 0.08 percent, and above and below 0.04 percent when testing isconducted by officers trained in modified scoring of NHTSA’s SFST battery. (See bar graph on next page.)

33. Citek, Ball, & Rutledge, Nystagmus Testing in Intoxicated Individuals,College of Optometry, Pacific University, Forest Grove, Oregon and theOregon State Police, Wilsonville, Oregon (2003). The HGN test administeredin the standing, seated, and supine postures is able to discriminateimpairment at criterion BACs of 0.08% and 0.10%. The VGN test canidentify high levels of impairment at any test posture. Therefore, these testscan be used by an officer to determine if a driver is impaired, regardless ofwhether the driver is standing, seated, or supine.

34. Burns, The Robustness of the Horizontal Gaze Nystagmus (HGN) Test, U.S.Department of Transportation Rep. (2004). The data provide no reason toexpect HGN examinations of one-eyed individuals to yield misleadinginformation and HGN, as used by law enforcement is a robust procedure, andthe data obtained in this experiment do not support recommendations forchanges in how officers are trained to view a suspect’s eyes and interprettheir observations. The study findings provide no basis for concluding thatthe validity of HGN is compromised by minor procedural variations.

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ATTACHMENT B

A Colorado Validation Study

of the

Standardized Field Sobriety Test (SFST) Battery

Final Report Submitted toColorado Department of Transportation

November 1995

Marcelline Burns, Ph.D. Ellen W. Anderson, DeputySouthern California Research Institute Pitkin County Sheriff’s OfficeLos Angeles, California Aspen, Colorado

This report was funded by the Office of Transportation Safety, ColoradoDepartment of Transportation

(utilizing National Highway Traffic Safety Administration funds, under ProjectNumber 95-408-17-05).

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A battery of standardized field sobrietytests (SFSTs), which was developed underNational Highway Traffic Safety (NHTSA)funding during the 1970's, is now used bypolice officers nationwide. Traffic officers infifty states, who have been trained instandardized administration of the tests,routinely use them and incorporate theirobservations of drivers’ test performance intotheir arrest or release decisions. Defenseattorneys, however, often challenge theadmissibility of court testimony about the testbattery.

Roadside decisions are a criticalcomponents of alcohol-and-drivingenforcement, and, therefore, of traffic safety. Because the SFSTs aid officers in the often-difficult task of identifying alcohol-impaireddrivers, it is likely that the tests havecontributed in some unknown measure to thesignificant decline in alcohol-related fatalitiesover the last decade. Given that they haveexerted a positive impact on traffic safety, it isimportant to resolve questions about theirvalidity and reliability, to maintain theircredibility, and to preserve them as a roadsidetool.

Because court arguments about SFSTsfocus largely on the research conducted at theSouthern California Research Institute (SCRI)and because that research is sometimesmisrepresented or misunderstood, it isnecessary first to clarify its purpose. Twolarge-scale laboratory experiments wereconducted for the purpose of identifying andstandardizing a “best” set of tests (Burns andMoskowitz, 1977; Tharp, burns andMoskowitz, 1981). Although it clearly isrelevant at this point in time to inquirewhether the methods of those experimentswere scientifically sound, it should berecognized that the laboratory data are nowonly indirectly enlightening about currentroadside use of the tests. In particular, notethat controlled laboratory conditions are lessvariable and, therefore, may be lesschallenging than the highly varied conditionswhich officers routinely encounter in the field.

Also, officer experience with the SFSTs iskey to the skill and confidence with which theyuse them as a basis for their decisions. Thusit is important to understand that the officerswho participated in the SCRI studies had notbeen trained with the SFSTs until just prior tothe experiments. They had not hadopportunity and time to gain skill or todevelop confidence in the tests. In contrast,many of the officers who now use and testifyabout the tests have been using themregularly for ten or more years, and it isreasonable to assume they have gained skilland to expect that their decisions based on thetests may be more accurate than those of theofficers during the initial research.

The question to be addressed in 1995 byagencies, officers and the courts is, “Howaccurate are the arrest decisions which aremade by experienced, skilled officers underroadside conditions when they rely onSFSTs?”. A broadly applicable answer cannotbe found in laboratory research. It requiresfield data; i.e., information about real-worldarrest decisions by officers trained by NHTSAguidelines to administer the SFSTs.

The Colorado Department ofTransportation funded a 1995 study to obtainsuch data. Through a grant to the PitkinCounty Sheriff’s Office and with thecooperative effort of seven Colorado lawenforcement agencies, records were collectedfrom drivers tested with the SFSTs atroadside. The seven agencies were:

Aspen Police Department (APD)Basalt Police Department (BPD)Boulder County Sheriff’s Office (BCSO)Colorado State Patrol (CSP)Lakewood Police Department (LPD)Pitkin County Sheriff’s Office (PCSO)Snowmass Village Police Dept (SVPD)

With information drawn from impaired-driving records, a data base was created andanalyzed at the Souther California ResearchInstitute.

I. Introduction

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In the State of Colorado, motor vehicleoperators are subject to arrest if they arefound to be driving with a blood alcoholconcentration (BAC) of 0.05% or higher. AtBACs of 0.05% or higher but less than 0.10%,they are charged with Driving While AbilityImpaired (DWAI). At BACs of 0.10% andhigher, the charge is Driving Under theInfluence (DUI). These statutes reflect theevidence from both epidemiological andlaboratory studies of alcohol impairment ofdriving skills.

It is the responsibility of law enforcementofficers to detect and arrest alcohol-influenceddrivers in accordance with these statutorylimits. In an efforts to meet that objective,police officers, not only in Colorado but in allfifty of the United States, rely on a battery ofstandardized field sobriety tests (SFSTs). Observations of drivers’ performance of thetests, together with driving pattern,appearance and manner, odor of alcohol, andother signs, underlie officers’ arrest andrelease decisions.

To be genuinely useful, roadside testsmust be valid and reliable; i.e., they mustmeasure changes in performance associatedwith alcohol and they must do it consistently. To the extent that they meet the validity andreliability criteria, they can be expected tocontribute to traffic safety by increasing thelikelihood that alcohol-impaired drivers will beremoved from the roadway by arrest. Importantly, they also will further serve thedriving public’s interest by decreasing thelikelihood that a driver who is not alcohol-impaired will be mistakenly detained orarrested. Thus, the validity and reliability ofthe tests are important issues.

This study was undertaken specifically toextend study of the SFSTs from the laboratorysetting to field use. The primary studyquestion was, “How accurate are officers’arrest and release decisions when the SFSTsare used by trained and experienced officers?” Over a five-month period, officers from sevenColorado law enforcement agencies who

volunteered for the study provided the records(N=305) from every administration of theSFSTs.

Using only the standardized 3-testbattery (Walk-and-Turn, One-Leg Stand,Horizontal Gaze Nystagmus), officers seldomerred when they decided to arrest a driver.

Officers were more likely to err on theside of releasing drivers than on the side ofincorrectly arresting drivers. Given thedifficulty of the task which confronts officersat roadside, in particular with alcohol-tolerantindividuals, the finding that approximatelyone-third of the released drivers should havebeen arrested is not unexpected. However, itis important to note that officers’ decisions torelease were correct two-thirds of the time.

It is concluded that the SFSTs are validtests; i.e., they serve as indices of the presenceof alcohol at impairing levels. The studydesign did not support an examination of test-retest reliability. It should be noted, however,that the test battery appears to have servedequally well across agencies and officers,strongly suggesting that it achieves acceptablereliability as well.

Technical Summary

Breath or blood specimens confirmed that93% of the arrested drivers were above 0.05%

BAC.

Overall, 86% of the officers’ decisions toarrest or release drivers who provided blood

or breath specimens were correct.

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This study was designed to:(1) gather data to assign officers’

decisions to the four cells of the decisionmatrix illustrated in Figure 1, and to

(2) examine the accuracy of the SFSTbattery when used in the widely varyingweather conditions of Colorado winter, spring,and summer months.

Both the design and the execution of thestudy focused on the integrity, completeness,and standardization of the data.

It is important to note how the studypopulation was defined and how the sample ofsubjects was drawn. Subjects were a subset ofthe population of drivers who were detainedby police officers during the study period. They were drivers, both those arrested andthose released, who were stopped by policeofficers during the study period and who wererequested to perform the SFSTs. The officers’decisions about those drivers have beenanalyzed in terms of correct decisions (CorrectArrests and Correct Releases) and errors(Incorrect Arrests and Incorrect Releases).

In a broader context, the terms CorrectReleases and Incorrect Releases could beextended to motorists who were stopped butwho were not asked to perform the SFSTs. Inmany of those cases, the release decisionswere correct, but it is likely that some of therewere impaired drivers who were releasedwithout ever being asked to perform theSFSTs. Those individuals and those decisionsare of interest and would be included in anassessment of overall proficiency in DUIdetection and arrest. In fact, the entirepopulation of impaired drivers, only some ofwhom are detected and stopped, is of interestin terms of traffic safety. In a validation studyof SFSTs, however, the subjects were onlythose drivers who were asked to perform thetests.

III. Study Design

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In 1995, there is a sound base ofscientific evidence to support the use of 0.10%,0.08%, and 0.05% BACs as presumptive andper se alcohol limits for drivers. There alsoappears to be strong support for those statutesamong citizens throughout broad (though notall) segments of society. A clear-cut shift ofattitude over the past ten to fifteen years hasresulted in anti-drunk driving sentiments bymuch of the driving population. In manysocial circles drinking-and-driving now isunacceptable behavior.

Why then, in a largely pro-alcoholenforcement climate, are there negative viewsof traffic officers’ related activities? Citizensoften seem to believe that enforcement is hit-or-miss and that officers regularly fail toremove many, if not most, alcohol-impaireddrivers from the roadway. Some also seem tobelieve that the activities at roadside arearbitrary and calculated to harass. Althoughthe multifaceted social and individualvariables that underlie this paradox ofconcurrent anti-enforcement sentiment andanti-drunk driving sentiment are beyond thescope of this report, it is germane to considerone set of factors. At least part of this view ofalcohol enforcement is attributable to ageneral failure to recognize the importance oftraffic officers’ duties, and to understand notonly what their duties encompass but also thedifficulty of their task.

Legislators, regulatory agencies,activities groups, and safety-conscious citizensalike sometimes appear to overlook the factthat traffic officers are pivotal in thedeterrence of drunk driving. Unless officersare able to detect and arrest impaired drivers,those drivers will never enter the system ofsanctions and, therefore, the existence ofenabling statutes and anti-drunk drivingsentiment will be largely irrelevant to them. Unfortunately, it is also true that the escape ofdetection and arrest on multiple occasionsserves to reinforce the risky behavior. Ineffect, if no accident and no arrest occur on oneor more occasions of drinking and driving, the

citizen may conclude that driving afterdrinking is acceptable behavior on otheroccasions.

For a number of reasons, the difficultiesassociated with traffic officers’ alcohol-enforcement responsibilities typically areunderestimated. One reason is the misnomer“drunk driving,” which suggests that theirduty is to apprehend “drunks” or obviously-intoxicated individuals. If that were indeedthe sole definition of alcohol enforcementduties, the task would be fairlystraightforward. In reality, the risksassociated with drinking and driving are notlimited to obviously-intoxicated drivers, norare officers’ enforcement responsibilitiesrestricted to those drivers.

Traffic officers are responsible forremoving alcohol-impaired drivers from theroadway, and the Colorado statute sets thecriterion alcohol levels at 0.10% and 0.05%BAC. In other jurisdictions the BAC limit is0.08%, with additional lower levels for lessercharges and specific driver groups. Enforcement problems arise in part from thefact that although the evidence clearlyestablishes that driving skills are impaired at0.10% BAC and lower, many, possibly evenmost, individuals who are willing to drive afterdrinking are not obviously intoxicated at thoselevels.

Leaving aside the problem of detectingalcohol impairment by the observation ofdriving behaviors, consider officers’ task oncethey stop vehicles and contact drivers atroadside. Working under widely-varyingconditions without special measurementapparatus, they must decide within a fewminutes whether a specific driver is impairedby alcohol. Impaired drivers may or may notdisplay atypical speech, appearance, or otherpersonal characteristics, but in eithercircumstance the officers have no knowledge ofany given driver’s sober appearance andbehavior. The task is further complicated bythe tolerant drinker’s normal appearance evenat very high BACs.

VI. Summary and Discussion

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Are there signs and symptoms which arereliably associated with 0.05% and 0.10%? With what level of confidence can the officerarrest or release a driver? With a decisioncriterion that minimizes incorrect arrests, therisk of releasing impaired drivers rises. Onthe other hand, a very strict decision criterionwill decrease the number of impaired driverswho are released but at the risk ofunnecessarily detaining non-impaired drivers. Is one risk preferable to the other? Thesequestions define the context of traffic officers’alcohol enforcement activities and thebackground of the Colorado Validation Studyof the SFSTs.

Records of all driver contacts, whichresulted in administration of the SFSTsduring the study period, were entered into theanalysis. Overall, for 234 cases confirmed bybreath or blood tests, officers’ decisions toarrest and release were 86% correct, and 93%of their arrest decisions were correct.

It was not unexpected to find that officerswere almost twice as likely to releaseincorrectly as to arrest incorrectly. Nonetheless, only 36% of the released driverswere at or above the statutory limit.

These findings obtained in the field withofficers experienced with the use of SFSTs canbe compared with findings from a laboratorysetting with officers recently trained with theSFSTs. It should be kept in mind that thecurrent data are not fully comparable to datafrom laboratory experiments, since there aredifferences other than time-since-training andlaboratory vs. field. With that caution, thecomparisons are instructive.

In an initial study of field sobriety testswith 238 laboratory subjects, officers’ decisionsoverall were 76% correct (Burns andMoskowitz, 1977). Only 54% of their arrestdecisions were correct, and only 8% of theirrelease decisions were incorrect. In a secondlaboratory study, officers’ decisions overallwere 81% correct, their arrest decisions were68% correct, and 14% of their release decisionswere wrong (Tharp, Burns and Moskowitz,1981). It is apparent that the arrest criterionwas lower in the laboratory. The penalties formistakes in a laboratory setting are, of course,fairly trivial compared to a real-world setting. The lower criterion, together with lack ofexperience with the tests, accounts for higherrates of incorrect arrests and lower rates ofincorrect releases than found in this study. Itis not surprising to find that officers in thefield require more certainty about arresting acitizen and adopt a higher criterion with theresult that they err in the direction ofincorrect releases.

In summary, the data provide clear-cutfindings about the use of SFSTs by officers insix Colorado communities. On a broader scale,they provide partial and tentative answers tosome important questions. It is hoped thatcurrent data from a field setting will facilitatecourt proceedings with drivers arrested onDUI and DWAI charges. It is hoped, too, thatthe content of this report will add to thedriving public’s understanding of roadsideenforcement activities, as well as torecognition of police officers’ critical role intraffic safety.

The records collected and analyzed duringthis study provide evidence that the SFSTs,

as used at roadside by trained andexperienced law enforcement officers, arevalid indices of the presence of alcohol.

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ATTACHMENT C

A FLORIDA VALIDATIONSTUDY OF THE

STANDARDIZED FIELDSOBRIETY TEST (S.F.S.T.)

BATTERY

Marcelline Burns, Ph.D.Southern California Research Institute

Los Angeles, California

Teresa Dioquino, SergeantPinellas County Sheriff’s Office

Largo, Florida

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I. INTRODUCTION

During the years 1975-1981, a battery of field sobriety tests was developed underfunding by the National Highway Traffic Safety Administration (NHTSA), U.S.Department of Transportation (Burns and Moskowitz, 1977; Tharp, Burns, andMoskowitz, 1981). The tests include Walk-and-Turn (WAT), One-Leg Stand (OLS),and Horizontal Gaze Nystagmus (HGN). NHTSA subsequently developed atraining curriculum for the three-test battery, and initiated training programsnationwide. Traffic officers in all 50 states now have been trained to administer theStandardized Field Sobriety Tests (SFSTs) to individuals suspected of impaireddriving and to score their performance of the tests.

At the time the SFSTs were developed, the statutory blood alcohol concentration(BAC) for driving was 0.10% throughout the United States. The limit now has beenlowered in a number of states to 0.08% for the general driving population. “Zerotolerance” is in effect in some jurisdictions for drivers under age 21, and commercialdrivers risk losing their licenses at a BAC of 0.04%. It is likely that additionalstates will enact stricter statutory limits for driving. In light of these changes, a re-examination of the battery was undertaken by McKnight et al. (1995). Theyreported that the test battery is valid for detection of low BACs and that no othermeasures or observations offer greater validity for BACs of 0.08% and higher.

The three tests have been incorporated into Drug Influence Evaluations (DIEs)which are conducted by certified Drug Recognition Experts (DREs) whenever anindividual is suspected of being drug-impaired. As part of a DRE evaluation, theSFSTs provide important evidence of drug impairment and contribute to the DRE’sthree-part opinion:

# Is the individual impaired by a drug or drugs?# If yes, is the impairment drug-related?# If yes, what category or categories of drug account for the impairment?

A study was conducted in Colorado to examine the validity of the SFSTs when usedby experienced officers in the field (Burns and Anderson, 1995). The design of thestudy insured that roadside testing was limited to the three-test battery, and thatofficers’ decisions were not influenced either by the driver’s performance of otherbehavioral tests or by measurement of BAC with a preliminary breath tester (PBT). The obtained data demonstrated that more than 90% of the officers’ decisions toarrest drivers were confirmed by analysis of breath and blood specimens.

A recently-reported NHTSA-funded study was conducted by Anacapa Sciences, Inc.in collaboration with the San Diego Police Department to examine the validity ofthe SFSTs for both 0.08% and 0.04% (Stuster and Burns, 1997). Officers’ estimatesof whether a driver’s BAC was above or below 0.08% or 0.04% were found to bemore than 90% correct.

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The Colorado and California studies provide relevant and current field data. Thevalidity of the tests when they are administered in the context of drug evaluationswas examined in a retrospective analysis of the records of the Phoenix DRE Unit(Adler and Burns, 1994). It was found that a suspect’s performance of the testsprovides valid clues of drug impairment.

The study reported here was conducted in collaboration with the Pinellas CountySheriff’s Office (PCSO) and expands the examination of the SFSTs to the State ofFlorida. An overview of PCSO and the demographics for Pinellas County can befound in Appendix I.

II. STUDY BACKGROUND AND RATIONALE

During the early years of SFST use by law enforcement, legal challenges wererelatively infrequent. For more than a decade now, however, defense counsel inmany jurisdictions has sought to prevent the admission of testimony about adefendant’s performance of the three tests. The objections, which continue to bepersistent and vigorous in 1997, typically focus on test validity and reliability asdemonstrated in the original laboratory research. It is entirely appropriate toinquire whether that early research to identify a best set of sobriety tests wasconducted with scientific rigor. Beyond that inquiry, however, the data, which wereobtained in a laboratory setting and now are more than twenty years old, are oflittle interest. Certainly, they are only marginally relevant to current roadside useof the tests. The questions which begs to be addressed in 1997 is whether the testsare valid and reliable indices of the presence of alcohol when they are used atroadside under present day traffic and law enforcement conditions.

Experience and confidence have a direct bearing on an officer’s skill with roadsidetests. In this regard, note that the officers who participated in the early SCRIstudies had been only recently and briefly (4 hrs) trained to administer the testbattery. There had been no time for them to use the tests in the field where theymight have developed confidence in decisions based on them. Nonetheless, theirdecisions were 76% correct in the first study and 81% correct in the second study.

At this point in time, many traffic officers have had ten or more years’ experiencewith the test battery and many report that they confidently rely on them. Since itseems unlikely in the extreme that they would continue to rely on tests whichrepeatedly lead to decision errors, it is a reasonable assumption that more oftenthan not their roadside decisions to arrest are supported by measured BACs. Whether their decisions to release are correct is largely unknown since the releaseddriver’s BAC generally is not measured.

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Traffic officers are charged with the detection and arrest of impaired drivers. Although their roadside duties are central to roadway safety, recognition of alcohol-impaired drivers can be difficult and is, therefore, subject to error. If officers are toeffectively meet this particular enforcement responsibility, they need to augmenttheir general observations of suspects with sensitive, accurate sobriety tests. Thetests not only aid in the removal of dangerously impaired drivers from the roadway,they also protect the driver who is not alcohol or drug impaired from beingimproperly detained. Thus, rigorous examinations of the SFSTs are important totraffic safety.

V. RESULTS

The first record in the data base is for an arrest which occurred on June 1, 1997,and the last record is dated September 4, 1997. During the study period, 379records were submitted for the study. Figure 3 graphs the total number of recordsby month. As expected, the initial activities generated enthusiasm amongparticipants, and the largest number of citizen contacts occurred during the firstproject month. Although available time of participating officers was affected duringJuly and August by scheduled training days and vacations, and although it typicallyis difficult to sustain the initial high interest level, the actual decline in arrests overthe extended project period was not large. The final month is not comparable, sincedata collection extended only a few days into September.

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A. Total Sample and Measured BACs

Table 3 summarizes the disposition of 379 records obtained during this study. Ascan be seen in the table and in Figure 4, the BACs of 256 drivers were measured. Thus, BACs are available for 81.8% of the 313 cases entered into an analysis ofofficers’ decisions. Evidential testing at the booking facility accounts for 210 of theBACs. Forty-six were obtained with a Preliminary Breath Testing (PBT) device. Alog of all cases appears in Appendix IV.

VI. SUMMARY AND DISCUSSION

Legislators have lowered the limits for alcohol levels in drivers from 0.15%, whichwas the very early standard, to 0.10% or 0.08%. The lower statutory limits aresoundly based in data from scientific experiments and form epidemiology and arean important step toward safer roadways. Whether their full potential for reducingalcohol-involved crashes can be reached, however, depends on effective enforcement. Failure to enforce a statute, whatever the reason for the failure, weakens thatstatute and may actually render it counterproductive to some degree.

Traffic officers are the first link in the series of events that brings a DUI driver intothe criminal justice system. Unless officers are able to detect and arrest impaireddrivers, those drivers will not experience the sanctions which are intended to deterimpaired driving. Although there are many aspects to effective DUI enforcement,certainly it is crucial for officers to be proficient in assessing the alcohol impairmentof drivers they detain at roadside.

As an aid to their roadside decisions, officers rely upon a battery of tests, theSFSTs, to augment their general observations of a driver. At this point in time, noother tests have been shown to better discriminate between impaired andunimpaired drivers. Nonetheless, the battery, and in particular Horizontal GazeNystagmus, frequently is attached vigorously during court proceedings. Thus, theexamination of officers’ decisions, based on the SFSTs, is of considerable interest.

If it can be shown that officers’ reliance on the tests is misplaced, causing themfrequently to err, then the officers, the courts, and the driving public need to beaware that the tests are not valid and that DUI laws are not bing properly enforced. If, on the other hand, it can be shown that officer typically make correct decisions,based on the SFSTs, perhaps the legal controversy that has centered on them formore than a decade can be diffused and court time can be devoted to moresubstantive issues.

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The data obtained during this study demonstrate that 95% of the officers’ decisionsto arrest drivers were correct decisions. Furthermore, 82% of their decisions torelease drivers were correct. It is concluded that the SFSTs not only aid policeofficers in meeting their responsibility to remove alcohol-impaired drivers from theroadway, they also protect the rights of the unimpaired driver. These data validatethe SFSTs as used in the State of Florida by Pinellas County Sheriff’s deputies whohave been trained under NHTSA guidelines. SFST validity now has beendemonstrated in Florida, California (1997) and Colorado (1995). There appears tobe little basis for continuing legal challenge.

References

Burns, M. (1990) Development and Pilot Test of a Computer Data Base of DrugEvaluations of Impaired Drivers. No. 90M079578301D.

Burns, M. and Adler, E.V. (1994) Drug Recognition Expert (DRE) Validation Study. Final Report, E0072023, Governor’s Office of Highway Safety, State ofArizona

Burns, M. and Anderson, E. (1995) A Colorado Validation Study of theStandardized Field Sobriety Test (SFST) Battery. Final Report, ColoradoDepartment of Transportation.

Burns, M. and Moskowitz, H. (1977) Psychophysical Tests for DWI Arrest. FinalReport, DOT-HS-802 424, NHTSA, U.S. Department of Transportation.

McKnight, A.J., Langston, E.A., Lange, J.E., and McKnight, A.S. (1995)Development of Standardized Field Sobriety Test for Lower BAC Limits(SFST-LL), Final Report, DTNH22-92-07000, NHTSA, U.S. Dept. ofTransportation.

Stuster, J. and Burns, M. (1977) Validation of the Standardized Field Sobriety TestBattery at BACs Below 0.10 Percent. Final Report, DTNH22-95-C-05192,NHTSA, U.S. Dept. of Transportation.

Tharp, V., Burns, M. and Moskowitz, H. (1981). Development and Field Test ofPsychophysical Tests for DWI Arrests. Final Report, DOT-HS-805-864,NHTSA, U.S. Dept. of Transportation.

VALIDATION OF THE STANDARDIZED F IELD SOBRIETY TEST

BATTERY AT BACS BELOW 0.10 PERCENT

FINAL REPORT

Submitted to:U.S. DEPARTMENT OF TRANSPORTATION

NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION

Jack StusterMarcelline Burns

August 1998

ANACAPA SCIENCES, INC.P.O. Box 519

Santa Barbara, California 93102

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Technical Report Documentation Page

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1. Report No. 2. Government Accession No. 3. Recipient’s Catalog No.

DOT HS ?

4. Title and Subtitle 5. Report Date

Validation of the Standardized Field Sobriety Test Battery at August 1998BACs Below 0.10 Percent

7. Author(s) 6. Performing Organization Code: n/aJack W. Stuster, PhD, CPE, and Marcelline Burns, PhD 8. Performing Organization Report No. n/a

9. Performing Organization Name and Address 10. Work Unit No. (TRAIS)Anacapa Sciences, Inc.P.O. Box 519 11. Contract or Grant No.Santa Barbara, CA 93102 DTNH22-95-C-05192

12. Sponsoring Agency Name and Address 13. Type of Report and Period CoveredNational Highway Traffic Safety Administration Final Report400 Seventh Street, SWWashington, D.C. 20590

15. Supplemental Notes 14. Sponsoring Agency CodeJames F. Frank, PhD was the Contracting Officer’s TechnicalRepresenative (COTR) for this project.

16. Abstract

This study evaluated the accuracy of the Standardized Field Sobriety Test (SFST) Battery to assist officers inmaking arrest decisions for DWI at blood alcohol concentrations (BACs) below 0.10 percent. NHTSA’s SFST batterywas validated at 0.10 percent BAC in 1981. The trend to reduce statutory DWI limits to 0.08 percent BAC promptedthis research project.

The research was composed of several project tasks, including planning, site-selection, training, data entry, anddata analysis, in addition to the actual conduct of a major field study. The City of San Diego, California, was selectedas the site. Seven officers of the San Diego Police Department’s alcohol enforcement unit were trained in theadministration and modified scoring of NHTSA’s SFST battery (i.e., Horizontal Gaze Nystagmus-HGN, Walk and Turn,and One Leg Stand). SFST scoring was adjusted: the observation of four HGN clues indicated a BAC ≥0.08 percent(rather than four clues indicating a BAC ≥0.10 percent), and the observation of two HGN clues indicated a BAC≥0.04 percent. During routine patrols, the participating officers followed study procedures in administering SFSTsand completing a data collection form for each test administered. The officers’ final step in each case was theadministration of an evidentiary breath alcohol test.

Data analysis found the SFSTs to be extremely accurate in discriminating between BACs above and below 0.08percent. The mean estimated and measured BACs of the 297 motorists tested were 0.117 and 0.122, respectively;the difference between the means (0.005 percent BAC) is very small and operationally irrelevant. Further, analysesfound the HGN test to be the most predictive of the three components of the SFST battery (r=0.65), however ahigher correlation was obtained when the results of all three tests were combined (r=0.69).

Decision analyses found that officers’ estimates of whether a motorist’s BAC was above or below 0.08 or 0.04percent were extremely accurate. Estimates at the 0.08 level were accurate in 91 percent of the cases, or as high as94 percent if explanations for some of the false positives are accepted. Officers’ estimates of whether a motorist’sBAC was above 0.04 percent but lower than 0.08 percent were accurate in 94 percent of the decisions to arrest andin 80 percent of cases overall. Also, the officers and prosecutors who were interviewed about the SFSTs found thetest battery to be acceptable for field use to establish probable cause for DWI arrest.

The results of this study provide clear evidence of the validity of the Standardized Field Sobriety Test Battery todiscriminate at 0.08 percent BAC, using a slightly modified scoring procedure. Further, study results stronglysuggest that the SFSTs also accurately discriminate at 0.04 percent BAC.

17. Key Words 18. Distribution StatementDWI, DUI, detection, field sobriety, performance tests,alcohol, law enforcement, highway safety

19. Security Classif. (of this report) 20. Security Classif. (of this page) 21. No. of Pages 22. PriceUnclassified Unclassified

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Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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EXECUTIVE SUMMARY

This report documents the research activities and presents the results of astudy conducted for the National Highway Traffic Safety Administration (NHTSA)to evaluate the accuracy of the Standardized Field Sobriety Test (SFST) Battery toassist officers in making arrest decisions and to discriminate blood alcoholconcentrations (BACs) below 0.10 percent. NHTSA’s SFST battery was validated at0.10 percent BAC in 1981. The trend to reduce statutory DWI limits to 0.08 percentBAC prompted this research project.

DESCRIPTION OF THE RESEARCHThe research was composed of several project tasks, including planning, site-

selection, training, data entry, and data analysis, in addition to the actual conduct ofa major field study. The City of San Diego, California, was selected as the site of thefield study. Seven officers of the San Diego Police Department’s alcohol enforcementunit were trained in the administration and modified scoring of NHTSA’s SFSTbattery (i.e., Horizontal Gaze Nystagmus, Walk and Turn, and One Leg Stand). SFSTscoring was changed slightly: the observation of four horizontal gaze nystagmus(HGN) clues indicated a BAC ≥0.08 percent (rather than four clues indicating a BAC≥0.10 percent), and the observation of two HGN clues indicated a BAC ≥0.04 percent.During routine patrols, the participating officers followed study procedures inadministering SFSTs and completing a data collection form for each testadministered during the study period. The officers’ final step in each case was theadministration of an evidentiary breath alcohol test.

RESULTSThe participating officers completed a total of 298 data collection forms; only

one case was eliminated from analysis because the motorist refused all forms ofBAC testing. Data analysis found the SFSTs to be extremely accurate indiscriminating between BACs above and below 0.08 percent. The mean estimatedand measured BACs of the 297 motorists tested were 0.117 and 0.122, respectively;the difference between the means (0.005 percent BAC) is very small andoperationally irrelevant. Further, analyses found the HGN test to be the mostpredictive of the three components of the SFST battery (r=0.65), however a highercorrelation was obtained when the results of all three tests were combined (r=0.69).

The results of decision analyses provide clear indication of SFST accuracy.Decision analyses found that officers’ estimates of whether a motorist’s BAC wasabove or below 0.08 or 0.04 percent were extremely accurate. Estimates at the 0.08level were accurate in 91 percent of the cases, or as high as 94 percent if explanationsfor some of the false positives are accepted. Officers’ estimates of whether amotorist’s BAC was above 0.04 but under 0.08 were accurate in 94 percent of thedecisions to arrest and in 80 percent of the relevant cases, overall.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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Finally, the officers and prosecutors who were interviewed about the SFSTsfound the test battery to be fully acceptable for field use to establish probable causefor DWI arrest.

IMPLICATIONSThe results of this study provide clear evidence of the validity of the

Standardized Field Sobriety Test Battery to discriminate above or below 0.08 percentBAC, using a slightly modified scoring procedure. Further, study results stronglysuggest that the SFSTs also accurately discriminate above or below 0.04 percent BAC.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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TABLE OF CONTENTS

Page

INTRODUCTION ........................................................................................................................ 1Background...................................................................................................................... 1

THE R ESEARCH ....................................................................................................................... 5

Task 1: Refined Work Plan........................................................................................... 5

Task 2: Specified SFSTs and Revised Procedures..................................................... 5

Task 3: Selected and Recruited Law Enforcement Agency..................................... 5

Task 4: Conducted the Field Validation Study......................................................... 9

Tasks 5 and 6: Analyzed Data and Prepared Final Report...................................... 14

R ESULTS ................................................................................................................................. 15

Evaluation of SFST Accuracy....................................................................................... 15

Comparison of Means.............................................................................................. 15

Correlation Analyses................................................................................................ 17

Decision Analyses..................................................................................................... 18

Evaluation of SFST Acceptability................................................................................ 23

IMPLICATIONS .......................................................................................................................... 25

How Accurately Do the Tests Discriminate?............................................................ 25

Which of the Components of the SFST Battery Is/Are the Best Predictors?..... 26

How Reliable, or Consistent, Are the Tests?............................................................. 26

Are the Tests Usable By Officers? Are They Accepted by Officers and Prosecutors?..................................................................................................................... 27

Conclusions...................................................................................................................... 28

R EFERENCES............................................................................................................................. 29

A PPENDIX A: S TANDARDIZED FIELD SOBRIETY TESTING..................................................... 31

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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LIST OF TABLES

Table Page

1 COMPONENTS OF THE F IELD EXPERIMENT PLAN......................................................... 9

2 ESTIMATED AND M EASURED BAC BY A GE CATEGORY ............................................ 15

3 ESTIMATED AND M EASURED BAC BY GENDER ......................................................... 16

4 ESTIMATED AND M EASURED BAC BY DISPOSITION, A GE CATEGORY, AND GENDER 16

5 CORRELATIONS OF SFST SCORES TO ESTIMATED AND M EASURED BAC.................. 17

6 S UMMARY OF F ALSE POSITIVES .................................................................................. 19

7 S UMMARY OF F ALSE N EGATIVES ............................................................................... 20

FIGURES

Figure Page

1 Fatality rates per million miles traveled in the U.S....................................... 2

2 Sequence of major project tasks.......................................................................... 5

3 Data collection form used in the validation study......................................... 12

4 Decision matrix at 0.08 percent BAC.................................................................. 18

5 Decision matrices at 0.08 percent BAC for each component test................. 21

6 Venn diagram of 188 cases ≥ 0.08 percent BAC................................................ 22

7 Decision matrix at 0.04 percent BAC.................................................................. 23

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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ACKNOWLEDGMENTS

The National Highway Traffic Safety Administration and Anacapa Sciences,Inc., are grateful to the managers and officers of the San Diego Police Department fortheir cooperation during the performance of this research project. Special thanks toOfficer Doug English, project liaison, and Sergeant Bill Snyder, supervisor of theTraffic Division’s alcohol-enforcement unit.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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INTRODUCTION

Beginning in 1975, the National Highway Traffic Safety Administration(NHTSA) sponsored research that led to the development of standardizedmethods for police officers to use when evaluating motorists who are suspected ofDriving While Impaired (DWI).1 Beginning in 1981, law enforcement officers haveused NHTSA’s Standardized Field Sobriety Test (SFST) battery to help determinewhether motorists who are suspected of DWI have blood alcohol concentrations(BACs) greater than 0.10 percent. Since that time, many states have implementedlaws that define DWI at BACs below 0.10. This report presents the results ofresearch performed to systematically evaluate the accuracy of NHTSA’s SFSTbattery to discriminate above or below 0.08 percent and above or below 0.04 percentblood alcohol concentration.

The report is presented in four sections. This brief Introduction presents theobjectives of the research, provides a summary of the relevant traffic safety issues,and discusses the historical context of the study. The second section of the reportdescribes the research tasks that were performed. The third section presents theresults of the study. The final section of the report discusses the implications of thestudy results.

BACKGROUNDNearly 1.4 million people have died in traffic crashes in the United States

since 1966, the year of the National Traffic and Motor Vehicle Safety Act (whichled to the creation of NHTSA in 1970). During the late 1960s and early 1970s morethan 50,000 people lost their lives each year on our nation’s public roads; morethan half of the motorists killed had been drinking. Traffic safety has improvedconsiderably since that time: the annual death toll has declined to about 40,000,even though the numbers of drivers, vehicles, and miles driven all have greatlyincreased. The dramatic improvements in traffic safety are reflected in the changein fatality rate per 100 million vehicle miles traveled: The fatality rate fell from 5.5in 1966 to 1.7 in 1996 (FARS--Fatal Analysis Reporting System--96), a 69 percentimprovement. Figure 1 illustrates this important trend. When miles traveled areconsidered, the likelihood of being killed in traffic in 1966 was more than threetimes what it is today.

Despite the significant improvements in traffic safety during the past 17years, an average of more than 115 people still die each day from motor vehiclecrashes in the United States. It is estimated that 41 percent of the drivers who diein crashes have been drinking.

________________________________1 Various terms are used throughout the United States for offenses involving drinking and driving. Inthis report, Driving While Impaired (DWI) is used to refer to all occurrences of driving at or abovethe legal blood alcohol concentratiion (BAC) limit of a jurisdiction.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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An emphasis on DWI enforcement since 1980 has been a factor in thesignificant improvement in traffic safety, as represented by declining fatal andalcohol-involved crash rates. NHTSA-sponsored research contributed substantiallyto the improved condition, in part, by providing patrol officers with useful andscientifically valid information and training materials concerning the behaviorsthat are most predictive of impairment. In particular, NHTSA sponsored researchthat led to the development of a DWI detection guide that listed 20 driving cues andthe probabilities that a driver exhibiting a cue would have a BAC of at least 0.10percent (Harris et al., 1980; Harris, 1980). A similar study was conducted recently thatidentified 24 driving cues that are predictive of DWI at the 0.08 level (Stuster, 1997).NHTSA also sponsored research that led to the development of a motorcycle DWIdetection guide (Stuster, 1993). NHTSA’s DWI training materials, based on theresults of these studies, have exposed the current generation of law enforcementofficers in the U.S. to information critical to DWI enforcement by providing asystematic, scientifically valid, and defensible approach to on-the-road DWIdetection.

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Figure 1. Fatality rates per million miles traveled in the U.S.

At the same time NHTSA was providing patrol officers with informationconcerning the driving behaviors that are the most predictive of impairment, theagency also sponsored research that led to the development of a standardized battery

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of tests for officers to administer to assess driver impairment after an enforcementstop has been made. Drs. Marcelline Burns and Herbert Moskowitz conductedlaboratory evaluations of several of the tests that were most frequently-used by lawenforcement officers at the time (Burns and Moskowitz, 1977). In addition to avariety of customary roadside tests (e.g., finger-to-nose, maze tracing, backwardcounting), the researchers evaluated measures of an autonomic reaction to centralnervous system depressants, known as horizontal gaze nystagmus. Horizontal gazenystagmus (HGN) is an involuntary jerking of the eye that occurs naturally as theeyes gaze to the side. Aschan (1958) described studies that linked various forms ofnystagmus to BAC, and Wilkinson, Kime, and Purnell (1974) reported consistentchanges in horizontal gaze nystagmus with increasing doses of alcohol. At the timeBurns and Moskowitz were conducting their seminal research for NHTSA,horizontal gaze nystagmus recently had been found to reliably predict BACs in astudy conducted in Finland (Pentilla, Tenhu, and Kataja, 1974). Further, Lehti (1976)had just calculated a strong correlation between BAC and the onset of nystagmus.

All of the field sobriety tests evaluated by Burns and Moskowitz were foundto be sensitive to BAC in varying degrees, at least under laboratory conditions. Inaddition, all of the tests showed a consistent increase in correlations with increasingBACs. Statistical analyses found the horizontal gaze nystagmus test to be the mostpredictive of the individual measures. However, the combined scores of three of thetests (One-Leg Stand, Walk-and-Turn, and Horizontal Gaze Nystagmus) provided aslightly higher correlation than the horizontal gaze nystagmus test by itself. Thecombined score correctly discriminated between BACs below or above 0.10 in 83percent of the subjects tested in the original study (Burns and Moskowitz, 1977).

NHTSA immediately sponsored a subsequent study to standardize the testadministration and scoring procedures and conduct further laboratory and fieldevaluations of the new battery of three tests. The researchers found that policeofficers tended to increase their arrest rates and were more effective in estimatingthe BACs of stopped drivers after they had been trained in the administration andscoring of the Standardized Field Sobriety Test battery. The results of this importantstudy were documented in meticulous detail in the technical report, Developmentand Field Test of Psychophysical Tests for DWI Arrest (Tharp, Burns, andMoskowitz, 1981). That report has been cited throughout the U.S. to establish thescientific validity of the SFST battery and to support officers’ testimony in court.NHTSA’s SFST battery is described in Appendix A.

During the past 16 years, NHTSA’s SFSTs largely have replaced theunvalidated performance tests of unknown merit that once were the patrol officer’sonly tools in helping to make post-stop DWI arrest decisions. Regional and localpreferences for other performance tests still exist, even though some of the testshave not been validated. Despite regional differences in what tests are used to assistofficers in making DWI arrest decisions, NHTSA’s SFSTs presently are used in all 50states. NHTSA’s SFSTs have become the standard pre-arrest procedures forevaluating DWI in most law enforcement agencies.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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The horizontal gaze nystagmus (HGN) test is considered by many lawenforcement officers to be a foolproof technique (sometimes called a “silver bullet”)that provides indisputable evidence of alcohol in a motorist’s system. The normalvariation in human physical and cognitive capabilities, and the effects of alcoholtolerance, result in uncertainties when arrest decisions are made exclusively on thebasis of performance tests. These uncertainties have resulted in large proportions ofDWI suspects being released rather than detained and transported to anotherlocation for evidentiary chemical testing. This is important because experienceddrinkers often can perform physical and cognitive tests acceptably, with a BACgreater than 0.10 percent. However, most experienced drinkers cannot conceal thephysiological effects of alcohol from an officer skilled in HGN administration. Thisis because horizontal gaze nystagmus is an involuntary reaction over which anindividual has absolutely no control.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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THE RESEARCH

This section provides a detailed description of all tasks performed during thefield validation of the Standardized Field Sobriety Test Battery for use at 0.08 percentBAC. The technical approach to the research involved the performance of six majorproject tasks, as summarized in Figure 2 and described in the following pages.

Task 1:Refined Work Plan

Task 2:Specified SFSTs andRevised Procedures

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Data

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Revised Training Program,and Conducted Training

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Figure 2. Sequence of major project tasks.

TASK 1: REFINED WORK PLANThe objectives of the first project task were to meet with the Contracting

Officer’s Technical Representative (COTR) and other NHTSA SFST experts todiscuss the project and to refine the proposed Work Plan based on those discussions.The project kick-off meeting was held at NHTSA headquarters on 24 October 1995.Substantive discussions with NHTSA personnel during and following the meetingcontributed to the development of the technical approach described here.

TASK 2: SPECIFIED SFSTS AND REVISED PROCEDURESBased on the widespread use and acceptance of NHTSA’s Standardized Field

Sobriety Test (SFST) Battery, validated at 0.10 percent BAC, NHTSA sponsored thecurrent study to evaluate the SFSTs at lower BACs. The only modifications to bemade to the SFSTs would be: 1) for officers to use the exhibition of four clues as anindication of BACs at the 0.08 level or greater (as officers presently are trained to usefour clues as an indicator of BACs at 0.10 percent or greater), and 2) for officers to usethe exhibition of two HGN clues as an indication of BACs greater than zero, butbelow 0.08 percent.

TASK 3: SELECTED AND RECRUITED LAW ENFORCEMENT AGENCY AND

CONDUCTED TRAININGThis project task was composed of four subtasks, as described in the following

paragraphs.

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SUBTASK 3.1: IDENTIFIED SITE SELECTION CRITERIA

The site-selection criteria were:

• Candidate sites must employ lower legal BAC levels (0.08 for adults and zerotolerance for youth under 21 years).

• Candidate sites must generate a sufficient number of traffic enforcement stops andDWI arrests for accurate assessment of the tests’ reliability and validity.

• Participating officers must have received NHTSA-approved SFST training from acertified instructor, possess at least one year of field experience administeringSFSTs, and receive refresher training from project staff.

• Managers and officers of the participating law enforcement agency must agree toabide by the research procedures for the duration of the field study. For example,officers may use only the SFST Battery (and no other tests) together with theirobservations of the driver’s general appearance and speech to make their arrestdecisions; and, all test administrations must be recorded and submitted. Onlyagencies that could assure an extremely high level of cooperation and commitmentwould be recommended for participation.

• The site must have the capability of generating cases that represent the full rangeof alcohol experience. For example, a city with a disproportionate number ofyounger drivers might be more appropriate to ensure samples of sufficient size forthe younger age categories.

SUBTASK 3.2: IDENTIFIED CANDIDATE SITES AND APPLIED SELECTION CRITERIA

Several factors constrained the site-selection process and limited the possiblecandidates for participation in this study. First, at the time the project wasconducted, California, Oregon, and Utah were the only states that met both of theBAC-related site-selection criteria, namely a 0.08 BAC limit for DWI and a zerotolerance law for drivers under 21 years of age. Second, it was important to restrictthe data collection period, to the extent possible, because it was believed that anextremely long data collection period might result in officers deviating from thestudy procedures. Strict adherence to study procedures was considered essential toensuring the internal validity of the study.

The site-selection strategy adopted was to recruit a police department thatserves one large city--a city large enough to generate a sufficient number of SFSTadministrations for statistical analysis by itself. A large city also was likely to have atraffic division with a dedicated DWI unit composed of trained experts. Focusing ontraffic enforcement specialists would permit us to restrict participation in the studyto officers who already had received NHTSA-approved SFST training and hadadditional field experience administering the test battery. Prior training in SFSTadministration was an important site-selection and methodological issue.

In the study that validated the SFST battery in 1981, all officers of an agencycould participate, following training provided by the researchers. The procedurefollowed during the original study was appropriate then because no other officers(anywhere) had yet to receive the training. However, that procedure could not befollowed in the current study because thousands of officers have received SFST

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training since 1981. Only trained and experienced test administrators could bepermitted to participate in the current study to avoid confounding study resultswith the effects of substantially different officer skill and experience levels in SFSTadministration and scoring. Officers who are formally trained and experienced inSFST administration tend to be concentrated in traffic enforcement and special DWIunits.

This site-selection strategy was judged to provide the best approach to achievethe objectives of the current study, and the City of San Diego, California, wasidentified as the leading candidate community when the site-selection criteria wereapplied. The San Diego Police Department serves a resident population of morethan one million, with a much larger service population attributable to tourism andseveral local military installations. The manner in which the San Diego PoliceDepartment satisfied the site-selection criteria is outlined below.

Number of SFST AdministrationsThe San Diego Police Department maintains a traffic division composed of 50

officers, including ten officers and a sergeant who form the alcohol enforcementunit. The alcohol enforcement unit deploys four or five officers on each night,Wednesday through Sunday. The time necessary to complete the associatedpaperwork usually limits each officer to a maximum of two DWI arrests each night.This results in about 130 arrests by officers of the special unit during a four weekperiod. The other members of the traffic division, combined, make an additional 130DWI arrests each month. San Diego Police Department officers do not hesitate toarrest drivers for BACs below 0.08 percent if they exhibit any evidence ofimpairment, even though low-BAC arrests usually are not prosecuted by the localdistrict attorney.

Demographic ConsiderationsThe Work Plan discussed the importance of selecting a site that offers cases

for analysis that represent the full range of driver ages and BACs of interest. It wasbelieved that a younger, rather than an older, driver population would result inmore cases of zero tolerance violations and more SFST administrations overall. Inthis regard, San Diego and the surrounding area is home to four major US Navybases and both the Navy and Marine Corps training centers. The area also is hometo three major universities and several smaller colleges and technical schools.

Willingness to ParticipateNaturally, formal approval by senior managers is required before any law

enforcement agency can participate in a traffic safety study. Further, a manager’spersonal interest in a study that results in command emphasis concerningparticipation greatly contributes to the success of a project because of the quasi-military organizational structure of law enforcement agencies. That is, if managersbelieve participation to be of value to an agency they will direct their officers tofollow the study procedures. In this regard, the commanding officer and othersenior managers of the San Diego Police Department expressed their considerableinterest in the study and directed their personnel to cooperate with the study team.

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Command emphasis is an important component to ensure adherence tostudy procedures, but it is not sufficient; the participating officers also must becommitted to the study. The willingness of a law enforcement agency to participatein a traffic safety study also can be measured, although subjectively, by the attitudesof field officers when discussing the general and specific issues involved in thestudy. The officers of the San Diego Police Department with whom we spoke aboutthe field validation expressed genuine interest in the study and eagerness to beselected for participation.

Finally, the requirement for an agency to modify its established procedures toaccommodate special study procedures usually is somewhat negotiable in a trafficsafety study, but deviations from established study procedures were not negotiablein this field validation. It was explained that police managers and all participatingofficers must agree to abide by the study procedures to ensure the internal validity ofstudy results. This was an area for concern to the project team because the San DiegoPolice Department’s established DWI procedures included administering three fieldsobriety tests in addition to the three NHTSA SFSTs. A firm study requirement wasthat no other tests be administered to subjects because they might influence anofficer’s BAC estimates; that is, all officer-estimates of BAC must be basedexclusively on results of the NHTSA SFST battery using the slightly modifiedscoring system. In this regard, San Diego police managers inquired with their districtattorney and DWI supervisors, those who might object to the restriction, and foundno opposition. In fact, it was mentioned that restricting sobriety testing to the threeSFSTs would help streamline the procedures for everyone.

Prior SFST TrainingAll members of the San Diego Police Department’s special alcohol-enforce-

ment unit previously had received SFST training that was administered accordingto NHTSA-approved procedures and curriculum by certified DWI instructors.Although approximately half of the other members of the Traffic Division also hadreceived SFST training, it was determined that the alcohol-enforcement unit wouldgenerate a sufficient number of SFST administrations for statistical analysis. All ofthe participating officers would receive a four-hour refresher training course priorto beginning the field study.

SUBTASK 3.3: RECRUITED LAW ENFORCEMENT AGENCY TO PARTICIPATE IN THE STUDY

NHTSA reviewed the site recommendations and approved San Diego as thesite for the field study. Further discussions were held with managers and officers ofthe San Diego Police Department and a Memorandum of Agreement was signedthat specified all study procedures and requirements.

SUBTASK 3.4: DEVELOPED SFST TRAINING PROGRAM

The experimental requirement that all participating officers be both trainedand experienced in SFST administration eliminated the need to develop a specialtraining program for this study. It was considered essential that the existing,NHTSA-approved SFST training program remain the training standard for the fieldevaluation. Because all participating officers already had received NHTSA-approved

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 9 --

SFST training, only a refresher program would be required. A four-hour refresher-training program was developed, based on the (October 1995) NHTSA curriculum.The purposes of the refresher training were to instruct the officers concerning themodified scoring system and obtain confirmation that all participants wereadministering and scoring the SFST battery correctly before beginning the fieldstudy.

TASK 4: CONDUCTED THE FIELD VALIDATION STUDYSystematic evaluation of the SFSTs to assist officers in making arrest

decisions at BACs below 0.10 percent, under field conditions, was the ultimateobjective of this research. Although existing tests were the subject of the evaluation,the reasons for conducting the field study were the same as if the tests previouslyhad not been validated. First, it was necessary to determine the accuracy of themodifications to test scoring, compared to actual BAC levels measured throughother means. For cases in which the driver was arrested for DWI, correspondencewould be assessed between scored performance on the SFSTs and BAC, asdetermined by breath test (blood and urine tests were discouraged but used ifsubjects refused to comply with breath testing). For cases in which a subject wasadministered SFSTs but then released on the basis of low estimated BAC, hand-heldbreath testing devices were used to establish actual BAC. The second purpose of theevaluation was to identify problems with test application in the field, which mightinclude test administration, scoring procedures, or other factors that might affect theuse of the tests by law enforcement personnel. Third, the courts’ acceptance ofevidence gathered using the slightly revised scoring procedures in the fieldevaluation would be assessed.

SUBTASK 4.1: PREPARED FIELD EXPERIMENT PLAN

A Field Experiment Plan was developed and approved by NHTSA to guidethe conduct of the field study. The plan included the seven components depicted inTable 1 and discussed below.

TABLE 1COMPONENTS OF THE FIELD EXPERIMENT PLAN

Component 1: SubjectsComponent 2: Independent VariablesComponent 3: Criterion MeasuresComponent 4: MaterialsComponent 5: ProceduresComponent 6: ControlsComponent 7: Data Analyses

Components 1 and 2: Subjects and Independent VariablesThe primary independent variable of interest, BAC, was inextricably linked to

the subjects in this study. Specifically, the experiment plan focused on obtaining datafrom adult motorists who were suspected of exceeding the legal limit of 0.08 percentBAC and youths under 21 who were suspected of exceeding the “zero-tolerance”

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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legal limit of 0.00. The accuracy of the SFSTs to discriminate at 0.08 and 0.04 percentBAC could not be assessed without data from individuals who had BACs over andunder these values. Therefore, it was important to obtain BAC estimates fromindividuals who had both passed and failed the standardized field sobriety tests.

Component 3: Criterion MeasuresThe only appropriate criterion measure to assess the accuracy of SFSTs is

BAC. Measures of impairment are irrelevant because performance of the SFSTsmust be correlated with BAC level, rather than driving performance. BAC providesan objective and reliable measure that states have recognized as presumptiveand/or per se evidence of impairment, depending on the statute. To obtain thesecriterion measures, it was determined that all drivers who were administered theSFST Battery must be tested for BAC, regardless of the results of the SFSTs. In otherwords, it would be essential to test the individuals who were judged to have BACsbelow the relevant statutory level and who subsequently would be released.Participating officers were instructed concerning the importance of obtaining BACdata for all subjects, in order to calculate the accuracy of the tests.

All police officers participating in the study were equipped with NHTSA-approved, portable breath testing devices to assess the BACs of all drivers who wereadministered the SFSTs, including those who were released without arrest. Further,arrested subjects were tested both in the field with a portable device and at thebooking site. The use of passive alcohol sensors (PAS) during the study was notpermitted.

Component 4: MaterialsOnly the existing SFSTs were to be administered, which require no

equipment. A pen, pencil, or small flash light frequently are used by officers as astimulus or target for the HGN test, but a finger can be used with equal effectiveness.

The data collection form used in the study is presented as Figure 3. The datacollection form was extremely important in this study for several reasons. As is thecase in most field studies, the form must be as simple to complete as possible tominimize the workload of participating officers. In the present case, it also wasimportant for the form to be designed to guide the officer in the administration ofthe SFSTs, to facilitate standardization and systematic scoring of the tests. Inaddition, the form designed for this study had to both encourage and provideassurances that officers had followed the study procedures. Most important, it wasessential that officers would conduct a breath test and record actual subject BAC asthe final step of the process; that is, actual BACs were to be entered on the form onlyafter BAC estimates based on SFST performance had been recorded. Hand-heldbreath testing devices with digital displays were used for this purpose.

Component 5: ProceduresThe sixth component of the field experiment plan was the specification of

procedures to be used for administering the tests and obtaining independentmeasures of BAC. The procedures to be followed by participating officers were listed

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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as a series of six numbered steps on the data collection form that was used in thefield study. The study procedures were to be followed whenever a participatingofficer suspected an adult driver of being alcohol impaired or a youth under 21 ofhaving a BAC greater than zero. In practice, officers administered the SFSTs to allmotorists who exhibited any objective behavior or other cue associated with havingconsumed alcohol, even if impairment was not evident. A breath, blood, or urinetest was administered to all motorists who performed the SFSTs, but only after theofficer had made an arrest/no arrest decision based on the officer’s scoring of thedriver’s SFST performance, and recorded a BAC estimate. The data collection formstructured the procedure by presenting all officer actions as a series of numberedsteps. Requiring officers to record the time of BAC estimates and BAC tests ensuredthat officers’ estimates were not influenced by the results of the chemical tests.Completed data collection forms were sent to Anacapa Sciences on a weekly basis fordata entry.

In some states, such as California, officers have the right to administer abreath test to a driver who has exhibited any objective sign of alcohol-consumption.Compliance is mandatory if the officer can articulate a reasonable suspicion of themotorist having consumed alcohol (such as the odor of an alcoholic beverage).SFSTs were administered only to drivers who exhibited some objective DWI cue,thus, no problems were experienced in obtaining BAC data, even from subjectswhose SFST performance was acceptable. The field breath test was conducted as thefinal step after the SFST procedure was completed, which is the de facto procedurefollowed by most officers who are equipped with field breath testing devices.

To further ensure compliance with study procedures, the participating lawenforcement officers signed a statement affirming that they would abide by theestablished study procedures. In addition, project staff monitored the data collectioneffort, periodically riding along with participating officers to ensure that studyprocedures were being followed.

Component 6: ControlsExtraneous variables that could affect the outcome of the study must be

controlled to the extent possible. The controls that were implemented to ensure thevalidity of study results have been discussed in this section, including systematicprocedures and the use of only trained and experienced officers.

Component 7: Data AnalysesThe data analysis plan was designed to answer the following research

questions.

• How accurately do the tests discriminate between subjects who are above or below0.08 and 0.04 percent BACs?

• Which of the components of the SFST battery is/are the best predictor(s) of BAC?

• How reliable, or consistent, are the tests?

• Are the tests usable by police officers? Are they readily accepted by officers andprosecutors?

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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NHTSA/ANACAPA SFST VALIDATION DATA FORM

FIELD SOBRIETY TESTS ADMINISTERED

Officer ID:______________

Month_____Day_____1996

6. DISPOSITION: Warning DUI ArrestCitation

4. ESTIMATE OF BAC BASED ON SFSTS:

Time of estimation _______hr _______min

5. SUBJECT BAC Refused

BloodBreath Urine

PBT Time of PBT test _______hr _______min

√

Driver:AdultUnder 21

MaleFemale

2 or more ≥ 0.08

Stops while walking

Does not touch heel to toe

Steps off the line

Raises arms for balance

Incorrect number of steps

Trouble with turn (explain)___________________

Cannot perform the test (8 clues -- maximum)

Total Walk and Turn Clues

3. WALK AND TURN TEST Clues

1st 9 2nd 9

Loses balance while listening to instructions

Starts before instructions are finished

Sways while balancing

Uses arms for balance

Hops to maintain balance

Puts foot down

Cannot perform test (4 clues -- maximum)

Total One Leg Stand Clues2 or more ≥ 0.08

Clues0-10 21-3011-20(seconds)2. ONE LEG STAND TEST

4 or more ≥ 0.08 / 2 or more ≥ 0.04Total HGN Clues (6 clues maximum)

Lack of smooth pursuit

Nystagmus at maximum deviation

Nystagmus onset before 45 degrees

Clues

1. HORIZONTAL GAZE NYSTAGMUS TEST

Right Eye Left Eye

+ =

Clues

Age:_______Time of Stop:_______hr _______min

Other Time of other test _______hr _______min

Figure 3. Data collection form used in the validation study.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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SUBTASK 4.2. TRAINED OFFICERS IN THE USE OF THE SFSTS

Dr. Marcelline Burns, one of the investigators who developed the SFSTbattery, developed and conducted the refresher training for the participatingofficers. Dr. Burns’ research and training experience in this field ensured thatofficers received effective and credible refresher instruction. Dr. Burns was assistedin the training session by the project director and NHTSA COTR.

SUBTASK 4.3. IMPLEMENTED EXPERIMENTAL DESIGN AND COLLECTED DATA

Implementation of the experiment design began immediately following thecompletion of officer refresher training on 23 May 1996 and continued through 9November. Specific study procedures were:

• Only officers who were members of the San Diego Police Department’s alcohol-enforcement unit and who received NHTSA-approved SFST training participateddirectly in the study. Dr. Marcelline Burns provided brief “refresher” training to allparticipating officers to ensure a consistent and systematic approach to SFSTadministration during the study.

• Upon commencement of the study period, participating officers used only the SFSTBattery (i.e., Horizontal Gaze Nystagmus, Walk and Turn, One Leg Stand) togetherwith their observations of a driver’s general appearance and speech, to establishinferences about a subject for whom there was reasonable suspicion of driving whileimpaired. In other words, no tests other than the three SFSTs were performed.

• Participating officers performed the administration steps in the sequence specified onthe data collection form; that is, they,

1. Administered the Horizontal Gaze Nystagmus test and recorded results.

2. Administered the One Leg Stand test and recorded results.

3. Administered the Walk and Turn test and recorded results.

4. Used the scoring systems that were printed on the data collection form (bycounting test “clues”) to estimate the subject’s BAC. Recorded their estimate ofthe subject’s BAC based on SFST performance, together with their observations ofthe subject’s general appearance and speech. Also, they recorded the time whentheir estimate was made.

5. Checked the box that indicated the disposition of the stop: Warning, Citation, orArrest.

6. Recorded the subject’s BAC obtained from a field breath test; or, checked theappropriate box for other tests or responses. Blood and urine test results wereprovided later; every effort was made to obtain a breath test result for al lsubjects. Recorded the time when the BAC test was performed.

• Obtained a BAC for all subjects who were administered SFSTs as the final step in thetest administration procedure. BACs were obtained for all subjects tested includingthose subjects who officers estimated, on the basis of SFST results, to have BACsbelow the legal limit.

• Participating officers completed and submited a data collection form for each subjecttested during the study period; that is, all administrations of the SFST battery by

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 14 --

participating officers were recorded on a data collection form and submitted foranalysis.

• All completed data collection forms were sent to Anacapa Sciences, Inc., for dataentry and analysis.

SUBTASK 4.4 CONDUCTED COURT AND POLICE INTERVIEWS

The final data collection task was the conduct of open-ended interviews withparticipating police officers and prosecutors who were exposed to the new SFSTsduring DWI cases. The purposes of the interviews were to determine if the testswere acceptable to the officers for use in the field and to the prosecutors for use oftest results in court.

TASKS 5 AND 6: ANALYZED DATA AND PREPARED FINAL REPORTAll data collection forms were returned to Anacapa Sciences, Inc., sequentially

numbered, and the contents entered into a computerized data base. Data analyseswere performed by the project director and Dr. Marcelline Burns. The results ofthose analyses are presented in the following section of this report.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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RESULTS

This study was conducted to evaluate the accuracy of NHTSA’s StandardizedField Sobriety Test Battery in assisting officers to make arrest decisions at BACsabove and below 0.08 percent under field conditions. A secondary objective of thestudy was to evaluate the possibility that the test battery also could be used to assistofficers in making arrest decisions at BACs lower than 0.08 percent.

The seven participating officers from the San Diego Police Department’salcohol-enforcement unit completed a total of 298 data collection forms during thestudy period; only one case was eliminated from analysis because the subject refusedto submit to any form of BAC testing. Officer compliance with study procedures andmotivation to participate in the study remained high throughout the data collectionperiod.

EVALUATION OF SFST ACCURACYThree methods were used to evaluate the accuracy of the SFST battery to

discriminate at the BACs of interest: comparison of means, correlation analyses, anddecision analyses.

COMPARISON OF MEANS

Table 2 presents a summary of the estimated and measured BAC data by agecategory. The table shows that 91.9 percent of the motorists tested were adults,compared to 8.1 percent youth, defined as motorists under the age of 21 years. Themean estimated and measured BACs of the younger motorists were approximately0.035 lower than the BACs of the adults tested during the field study. The officers’mean estimated BACs, however, were very close to the mean measured BACs forboth adults and youth; on average, the difference between officers’ estimates and theactual BACs were only 0.005 percent for adults and 0.007 percent for youth.

TABLE 2ESTIMATED AND MEASURED BAC (%) BY AGE CATEGORY

Age Estimated MeasuredCategory Number Percent BAC (Mean) BAC (Mean)

Adults 273 91.9 0.120 0.125Youth 24 8.1 0.083 0.090Total 297 100.0 0.117 0.122

Table 3 presents a summary of the estimated and measured BAC data by gen-der category. The table shows that 87.9 percent of the motorists tested were males,compared to 12.1 percent females, with adults and youth combined. The mean esti-mated BACs of the male and female motorists tested were identical (i.e., 0.117 per-cent). Again, for both categories, the officers’ mean estimated BACs were very closeto the mean measured BACs; on average, the difference between officers’ estimatesand the actual BACs were only 0.004 percent for males and 0.012 percent for females.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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TABLE 3ESTIMATED AND MEASURED BAC (%) BY GENDER

Estimated MeasuredGender Number Percent BAC (Mean) BAC (Mean)

Male 261 87.9 0.117 0.121Female 36 12.1 0.117 0.129

Total 297 100.0 0.117 0.122

Table 4 presents a more detailed accounting of the estimated and measuredBAC data by age and gender category, and by the disposition of the enforcement stop.In addition, the table shows that 73 percent of all motorists who were tested duringthe field study were arrested for DWI based on SFST performance and officerevaluations. Approximately 22 percent of the motorists tested received warningsand five percent were cited for a motor vehicle violation other than DWI.

TABLE 4ESTIMATED AND MEASURED BAC (%) BY DISPOSITION, AGE CATEGORY, AND GENDER

Disposition & Estimated MeasuredCategory Number Percent BAC (Mean) BAC (Mean)

Warnings 65 21.9 0.060 0.044Adults 57 0.063 0.045

Male Adults 53 0.063 0.044Female Adults 4 0.070 0.054

Youth 8 0.036 0.038Male Youth 6 0.037 0.038

Female Youth 2 0.035 0.040

Citations 15 5.1 0.055 0.046Adults 11 0.050 0.040

Male Adults 9 0.047 0.043Female Adults 2 0.065 0.029

Youth 4 0.070 0.062Male Youth 2 0.060 0.055

Female Youth 2 0.080 0.070

Arrests 217 73.0 0.138 0.150Adults 205 0.139 0.152

Male Adults 180 0.139 0.150Female Adults 25 0.139 0.160

Youth 12 0.119 0.135Male Youth 11 0.121 0.134

Female Youth 1 0.100 0.140

Total 297 100.0 0.117 0.122

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 17 --

The data presented in Table 4 also show that officers tended to slightly over-estimate the BACs of motorists who had lower BACs, and slightly under-estimateBACs at the higher levels. Overall, however, officers’ estimates were extremelyaccurate. Based on SFST results and officers’ observations, the officers’ meanestimated BAC of the 297 motorists was 0.117 percent, compared to the meanmeasured BAC of 0.122. Although statistically significant, the difference of 0.005percent BAC is a trivial and operationally irrelevant under-estimate of actual BACsthat is within the margin of error of sophisticated evidentiary testing equipment.

CORRELATION ANALYSES

The accuracy of the SFSTs was further evaluated by conducting a series ofcorrelation analyses to identify the degree to which officers’ individual estimates ofBAC corresponded with subjects’ actual, or measured, BAC. A correlation coefficientis a statistic, usually represented as r, that expresses the relatedness of two variables,that is, the degree to which the variables co-vary. In this case, the two variables werean officer’s estimate and the subject’s actual BAC. The Pearson product-momentcorrelation method was used to calculate the relationship between these variables;cases with complete SFST results (n=261) were used in this analysis.

If officers had predicted the precise BACs of all subjects (to three decimalpoints), the correlation coefficient would be +1.00; the correlation coefficient wouldbe zero if there were no relationship between the estimated and actual BACs. Forpredictive measures, especially those administered under field conditions, acorrelation of 0.65 to 0.70 is considered to be very high.

Table 5 presents the results of the correlation analyses. The table shows thatHGN test results had the highest correlation with measured BAC of the threecomponents of the SFST battery (r=0.65). However, a slightly higher correlation wasobtained when the results of the three component tests were combined (r=0.69). Thetable also shows strong correlations between test results and officers’ estimatedBACs, indicating that officers were following procedures and interpreting test resultscorrectly. All of the correlations were found to be statistically significant (p=.005).

TABLE 5CORRELATIONS OF SFST SCORES TO ESTIMATED AND MEASURED BAC (%)

N=261 CASES WITH COMPLETE SFST SCORES

Correlation (r) Correlation (r)with Estimated with Measured

Rank SFST(s) BAC BAC

1 3 Tests Combined 0.75 0.692 HGN 0.71 0.653 Walk-and-Turn 0.64 0.614 One Leg Stand 0.61 0.45

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 18 --

DECISION ANALYSES

The third method used to evaluate the accuracy of the SFST battery was toconstruct a decision matrix that describes the four possible combinations of the twovariables of interest, estimated and actual BACs above and below the levels ofinterest. Figure 4 presents the first decision matrix, with the four major cells of thematrix representing the four possible decisions at 0.08 percent BAC. The numbers inthe major cells are the number of cases for each type of decision out of the 297 SFSTadministrations. The two shaded cells represent correct decisions based on SFSTresults: 1) 210 motorists who officers estimated to have BACs equal to or greaterthan 0.08 percent, who later were found to have BACs ≥0.08 by BAC testing (bybreath, blood, or urine analysis); and, 2) 59 motorists who officers estimated to haveBACs below 0.08 percent, who later tested below 0.08.

Figure 4 also reveals the incorrect decisions: 1) 24 motorists who officersestimated to have BACs greater than 0.08 who later were found to have BACs belowthat level (false positives); and, 2) four subjects who officers estimated to have BACsbelow 0.08 who later tested above 0.08 (false negatives).

It can be calculated from the data contained in Figure 4 that officers’ decisionswere accurate in 91 percent of the 297 cases (i.e., [210+59]÷297=.906). Further, officers’decisions to arrest were correct in 90 percent of the cases in which BAC wasestimated to be ≥0.08 (i.e., 210÷234=.897), and decisions not to arrest were correct in94 percent of the cases in which BAC was estimated to be below 0.08 (i.e., 59÷63=.937).These results indicate a high degree of accuracy, but it will be instructive to considermore closely those cases in which incorrect decisions were made.

Officers' Estimated BACs

Mea

sure

d B

AC

s

≥0.08%<0.08%

≥0.0

8%<

0.08

%

n=210n=4

n=59

n=234n=63

n=214

n=83

N=297

Accurate in 91% of cases overall90% accurate in "yes" decisions94% accurate in "no" decisions

n=24

Figure 4. Decision matrix at 0.08 percent BAC.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 19 --

Table 6 presents a summary of the data for each of the 24 false positives (FPs).These cases are labeled False Positives because the officers estimated the subjects’BACs to be ≥0.08 percent, but subsequent testing found BACs below 0.08. However,in several cases, officers were correct in identifying impairment, which probablyinfluenced their estimates of BAC.

TABLE 6SUMMARY OF FALSE POSITIVES

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

30

34

121

186

226

227

129

175

224

32

127

16

196

52

178

246

137

12

164

165

75

104

13

135

4

4

0.08

0.08

0.08

0.08

0.08

0.08

0.09

0.09

0.09

0.09

0.10

0.10

0.10

0.11

0.12

0.12

0.09

0.08

0.08

0.08

0.08

0.09

0.09

0.12

6

4

6

4

4

4

4

6

6

6

6

4

6

6

2

n/a

2

2

2

3

0

3

0.050

0.058

0.060

0.063

0.058

0.060

0.070

0.070

0.076

0.070

0.028

0.070

0.074

0.050

0.070

0.069

0.030

0.060

0.070

0.020

0.078

0.048

0.037

0.043

yes

yes

yes

yes

yes

yes

yes

yes

yes

yes

yes

yes

yes

yes

yes

yes

no

no

no

no

no

no

no

?

CaseNumber

EstimatedBAC (%)

Numberof HGN

Clues

MeasuredBAC (%)

Is EstimateConsistent

with Clues?

In 16 of the cases listed in Table 6, the officers’ estimates of BAC wereconsistent with the number of HGN clues observed (i.e., four or more HGN clues to

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 20 --

support an estimate ≥0.08), however, the motorists subsequently were found to haveactual BACs below 0.08 percent. In seven of the cases, the officers’ estimated BACswere inconsistent with the number of HGN clues observed. It is important to notethat six of the 24 false positives had measured BACs of 0.07 percent, and three hadBACs greater than 0.07 but less than 0.08 (i.e., 0.074, 0.076, and 0.078). All nine ofthese BACs are within the margin of error of the testing devices. Further, CaseNumber 16 was a juvenile (0.069), which rendered the difference between estimatedand measured BACs irrelevant in a zero tolerance jurisdiction; that is, it was acorrect arrest decision despite the BAC estimate. In addition, two of the subjects withmeasured BACs of 0.07 were arrested for DWI, because the officers’ believed thatthey were too impaired to be permitted to drive. Finally, Case Number 30, with anestimated BAC of 0.08 and a measured BAC of 0.05 percent, was found to be apsychiatric patient, which helped to explain her erratic behavior, poor SFSTperformance, and apparent impairment.

Although the proportions of correct decisions presented in Figure 4 reflect ahigh degree of accuracy, the accuracy of officers’ decisions is even better if some ofthe borderline cases are accepted. An accuracy rate of 94 percent for all officerdecisions based on SFST results was calculated by including as correct decisions Case16 (the youth with a 0.069 percent BAC) and the nine false positives with BACsbetween 0.07 and 0.08, discussed in the previous paragraph.

Table 7 summarizes the four cases in which officers estimated the subjects’BACs to be below 0.08 percent, but later found the measured BACs to be ≥0.08. SixHGN clues would be expected for Case Number 193 (0.10 percent) and Case Number99 (0.12 percent). It is unknown why the officers observed only two HGN clues. Incontrast, officers recorded four HGN clues for Case Number 131 and Case Number114, which would indicate BACs greater than 0.08, however, the officers’ estimated-BACs were only 0.06 percent. It is unknown why the officers did not follow the testinterpretation guidelines in these two cases; their low estimates probably reflectother observations made in combination with SFST performance.

TABLE 7SUMMARY OF FALSE NEGATIVES

1

2

3

4

193

99

131

114

2

2

0.06

0.06

0.06

0.06

4

4

0.100

0.120

0.080

0.116

yes

yes

no

no

CaseNumber

EstimatedBAC (%)

Numberof HGN

Clues

MeasuredBAC (%)

Is EstimateConsistent

with Clues?

Similarly, in seven of the false positive cases listed previously in Table 6,officers apparently did not follow the test interpretation guidelines; that is, fewerthan four HGN clues were reported, yet the officers’ estimated-BACs were at least

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 21 --

0.08 percent. It is possible that other factors influenced the officers’ estimates. Forexample, the subjects might have appeared to be more impaired than indicated byHGN results as a consequence of prescription or recreational drugs taken in additionto alcohol.

A series of decision analyses was performed to calculate the contributions ofthe component tests of the battery to officers’ estimates of BAC. Figure 5 presentsthree decision matrices, one for each of the SFSTs. The matrices are similar to theone in Figure 4, but with the criterion numbers of clues at 0.08 percent BACsubstituted for officers’ estimates. Figure 5 shows the HGN test to be the mostaccurate independent predictor of whether a motorist’s BAC is above or below 0.08percent.

Number of HGN Clues

Mea

sure

d B

AC

s

≥ 4< 4

≥0.0

8% n=4

n=51

n=235n=55

n=209

n=81

N=290

Accurate in 88% of cases overall87% accurate in "yes" decisions93% accurate in "no" decisions

<0.

08%

n=205

n=30

Number of WAT Clues

Mea

sure

d B

AC

s

≥ 2< 2

≥0.0

8% n=179n=16

n=36

n=219n=52

n=195

n=76

N=271

Accurate in 79% of cases overall82% accurate in "yes" decisions69% accurate in "no" decisions

<0.

08%

n=40

Accurate in 83% of cases overall86% accurate in "yes" decisions73% accurate in "no" decisions

Number of OLS Clues

Mea

sure

d B

AC

s

< 2

≥0.0

8% n=16

n=44

n=213n=60

n=198

n=75

N=273

<0.

08%

≥ 2

n=182

n=31

Figure 5. Decision matrices at 0.08 percent BAC for each component test of the SFST battery.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 22 --

Further analyses were performed to explore methods for combining theresults of the three component tests. Only the 261 cases that included test results forall three component tests could be used in this analysis. Of those cases, 73 werefound to have BACs below 0.08 percent and 188 cases had measured BACs ≥0.08percent. In 162 of the 188 cases (86 percent), all three component SFSTs wereunanimous in their predictions.

Figure 6 presents a Venn diagram that illustrates the contributions of thethree tests to the 14 percent of cases in which a discrepancy occurred. The figureshows there were 162 cases with BACs ≥0.08 in which all three SFSTs indicated aBAC ≥0.08 (the number outside the circles in Figure 6), and 26 cases in which one ormore test disagreed (the numbers inside the circles). A single test indicated a BACbelow 0.08 in 17 of the cases (8+2+7), and two tests were involved in nine of thecases (1+1+7). There were no cases in which all three tests predicted incorrectly.

HGN

WAT OLS

2

10

1

8 7 7

162 Cases ≥0.08% BAC in which all three tests agree(represented by the area outside the three circles)

Figure 6. Venn diagram of 188 cases ≥0.08% BAC; 26 cases in which all three tests do not agree.

The horizontal gaze nystagmus test (HGN in the diagram) was about fourtimes less likely to be the source of a discrepancy than the other two tests. Only twoof the single-test discrepancies were attributable to HGN results, compared to eightcases for the Walk and Turn test (WAT), and seven cases for the One Leg Stand(OLS). Overall, the HGN test was involved in only four of the discrepancies,compared to 16 cases for the Walk and Turn and 15 cases for the One Leg Stand.

The question of the SFST battery’s accuracy in discriminating BACs above andbelow 0.04 percent is addressed by the following decision matrix, presented in Figure7; the shaded cells of the matrix again represent correct decisions based on SFSTresults. The figure shows that officers estimated motorists’ BACs to be equal to orgreater than 0.04 but under 0.08 percent in 54 cases, and in 51 of those cases theirestimates were found to be correct by subsequent breath, blood, or urine testing;

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 23 --

these values result in an accuracy rate of 94 percent for these decisions (i.e.,51÷54=.94). The figure also shows that officers estimated that 29 motorists had BACsbelow 0.04, and in 15 of those cases their estimates were found to be correct bysubsequent testing, resulting in a 52 percent accuracy rate (15÷29=.52). Overall,officers were accurate in 80 percent of the cases when discriminating betweensubjects who were above 0.04 but below 0.08 percent BAC (i.e., [51+15]÷83=.80).

Officers' Estimated BACsM

easu

red

BA

Cs

≥0.04 <0.08%<0.04%

n=14

n=15

n=54n=29

n=65

n=18

N=83

Accurate in 80% of cases overall94% accurate in "yes" decisions52% accurate in "no" decisions

<0.

04%

≥0.0

4 <

0.08

%

n=51

n=3

Figure 7. Decision matrix at 0.04 percent BAC.

EVALUATION OF SFST ACCEPTABILITYIn interviews and during ride-along observations, the officers who

participated in the study fully accepted the SFSTs for evaluating motorists for DWIat BACs below 0.10 percent. All of the officers were formally trained in SFSTadministration and scoring and all had sufficient field experience to developconfidence in their abilities to discriminate at the 0.08 level. Further, it was theofficers’ experience with the SFST battery that the component tests could beadministered to all but a small proportion of drivers and under all reasonableenvironmental conditions.

Interviews also were conducted with representatives of the San Diego CityAttorney’s Office to inquire concerning the acceptability of the SFSTs to prosecutorsand judges in DWI cases. The attorneys interviewed reported that none of the 298DWI arrests made by participating officers during the study period was negativelyaffected by the SFST battery, or by excluding the other tests that traditionally hadbeen used by the department.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 24 --

The attorneys further explained that as prosecutors they normally prefer asmuch evidence as possible, and in a DWI case more tests usually generate moreevidence they can use. However, it has been their recent experience that a test usedby another local law enforcement agency has negatively affected cases they haveprosecuted. Defense attorneys have been unsuccessful in their challenges ofNHTSA’s SFST battery, but they have successfully challenged the validity of theother test because it has not been evaluated in a systematic and scientific manner.Prosecutors who were interviewed suggested that the optimum situation would befor all law enforcement agencies to restrict their field sobriety evaluations to thesame standardized battery of three tests.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 25 --

IMPLICATIONS

The research documented in this report found that NHTSA’s StandardizedField Sobriety Test Battery accurately and reliably assists officers in making DWIarrest decisions at 0.08 percent BAC. The study also found that the SFSTs can be usedto assist officers in making arrest decisions at 0.04 percent BAC by using two HGNclues as the criterion rather than four clues, which is the criterion for a 0.08 percentor above BAC determination. The primary implication of the study results is thatthe SFST battery is a valid method for making roadside DWI decisions at 0.08 and0.04 percent BAC. Specific implications of the study results are presented in thefollowing paragraphs in response to the research questions listed previously.

HOW ACCURATELY DO THE TESTS DISCRIMINATE BETWEEN SUBJECTS WHO

ARE ABOVE OR BELOW 0.08 AND 0.04 PERCENT BACS?This study found NHTSA’s SFST battery to be an accurate method for

discriminating motorists’ BACs above and below 0.08 percent and above and below0.04 percent, when the tests are conducted by trained officers, as summarized below.

COMPARISON OF MEANS

The mean estimated BAC of the 297 motorists included in the study was 0.117percent, compared to the mean measured BAC of 0.122. The difference of 0.005percent BAC (i.e., five one-thousandths of a percent BAC) is very small andoperationally irrelevant. The accuracy of officers’ estimates during this study, inlarge measure, confirms the anecdotal accounts and observations of officers in thefield that suggest remarkable abilities to predict a motorists’ BAC on the basis ofSFST results.

CORRELATION ANALYSES

Correlation analyses found the HGN test to be very predictive of measuredBACs (r=0.65). A higher correlation was obtained when the results of the threecomponent tests were combined (r=0.69). All of the correlations are statisticallysignificant, meaningful, and in the rank order expected from previous SFSTresearch.

DECISION ANALYSES

Decision analyses found that officers’ estimates of whether a motorist’s BACwas above or below 0.08 or 0.04 percent were extremely accurate. Estimates at orabove the 0.08 level were accurate in 91 percent of the cases, or as high as 94 percentif explanations for ten of the false positives are accepted. Estimates at or above the0.04 level (but below 0.08) were accurate in 94 percent of the relevant cases. It isimportant to note that officers’ decisions not to arrest were more accurate at 0.08than at 0.04 (94 percent compared to 52 percent).

Although the relatively small number of low BACs in the data base (n=83)might constrain confidence in the SFSTs at the 0.04 level, the data strongly suggest

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 26 --

operational utility to accurately discriminate above or below 0.04 percent BAC.Further, these results are consistent with the results of a recent study conducted toevaluate the SFST battery for use by officers in Colorado.

Colorado has a two-tier statute that permits officers to arrest motorists fordriving under the influence (DUI) if found to have a BAC ≥ 0.10 percent, and for alesser offense, driving while ability impaired (DWAI), if found to have a BAC ≥0.05but below 0.099 percent. Of the 234 drivers tested during the Colorado study forwhom BACs were known, 93 percent of the officers’ decisions to arrest at the 0.05percent criterion were correct, and 64 percent of the decisions to release were correct.Overall in the Colorado study, 86 percent of the officers’ decisions at the 0.05 levelwere correct, based on SFST results (Burns and Anderson, 1995; Anderson andBurns, 1997).

WHICH OF THE COMPONENTS OF THE SFST BATTERY IS/ARE THE BEST

PREDICTOR(S) OF BAC?The horizontal gaze nystagmus test was found to be the most predictive of the

three component tests, but correlations with measured BACs were higher when theresults of all three tests were combined, as reported earlier. The implications of thisstudy result are that all components of the SFST battery should be administeredwhen possible or practical. However, the data indicate that the HGN test alone canprovide valid indications to support officers’ arrest decisions at both 0.08 and 0.04percent BAC.

HOW RELIABLE, OR CONSISTENT, ARE THE TESTS?Reliability is a measurement concept that represents the consistency with

which a test measures a type of performance or behavior. In the current context, areliable field sobriety test provides consistent results when administered to the sameindividual by two different officers, under nearly identical conditions. This type of“inter-rater” reliability was impossible to measure directly during this study, due tothe constraints imposed by field conditions. In particular, it would have beenunrealistic to subject motorists to the SFST battery twice, or to require that officersoperate in pairs during their patrols.

Evidence of SFST reliability can be found in the results of the previouslaboratory studies, in which the constraints on repeated measure were eliminated bythe use of paid subjects and officers. Tharp, Burns, and Moskowitz (1981) foundrelatively high inter-rater reliability for BAC estimates based on SFST results (r=.72).The researchers also found that inter-rater reliability increased in subsequentsessions (r=.80), indicating the important role of training and experience inachieving accuracy, reliability, and overall proficiency.

In addition, correlation coefficients, in general, are measures of reliability. Forthis reason, the correlations between estimated and actual BACs obtained during thefield study (r=.69) indicate a high degree of reliability for tests designed to beadministered at roadside.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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ARE THE TESTS USABLE BY POLICE OFFICERS UNDER A VARIETY OF ROADSIDE

CONDITIONS? ARE THEY READILY ACCEPTED BY OFFICERS AND PROSECUTORS?All of the officers who participated in this study were members of the San

Diego Police Department’s alcohol enforcement unit, all had previously receivedNHTSA-approved training in DWI detection and SFST administration, and all hadat least three years of experience in the Traffic Division before joining the specialunit. Prior to beginning the field study, the officers demonstrated competence in theadministration of the component tests and interpretation of test results.Participation was limited to members of the alcohol-enforcement unit of a singlelaw enforcement agency. These experience and training requirements wereimposed, to control variables, to the extent possible, that might affect study results.

As a consequence of the selection criteria, all participating officers wereproficient in the use of the SFST battery. The officers reported that they use theirSFST skills daily in their work, and their experience has made them confident in theability of the test battery to discriminate at 0.08 percent BAC, and at lower levels.Further, officers reported that the tests can be administered in all reasonableenvironmental conditions. In short, the officers who participated in this studyconsider the SFST battery to be extremely useful, in fact, essential tools for theperformance of their professional duties.

The prosecutors interviewed during the study reported that the SFST batteryhas been acceptable to them and the courts because it was developed and validatedin a systematic and scientific manner. They suggested that all law enforcementagencies should limit officers to use of the SFST battery in performance evaluationsof DWI because other tests usually lack credibility in court. No problems wereexperienced in any of the 298 cases resulting from the field study, indicating theSFSTs to be fully acceptable to the courts in establishing probable cause to arrest amotorist for DWI.

NOTE ABOUT THE ACCEPTABILITY OF THE HGN TEST

Many law enforcement officers from across the United States have reportedtheir sincere appreciation to NHTSA for developing the SFST battery, and inparticular, the horizontal gaze nystagmus test. However, some officers haveexpressed frustration about the resistance of some courts to accept HGN results,despite the clear and unequivocal support of scientific research and field experience.It is likely that this remaining resistance to the horizontal gaze nystagmus test isattributable to a misunderstanding concerning the purpose of a field sobriety test,and can be explained by reference to “face validity,” a term used in the behavioralsciences to describe one component of a measure’s acceptability.

Many individuals, including some judges, believe that the purpose of a fieldsobriety test is to measure driving impairment. For this reason, they tend to expecttests to possess “face validity,” that is, tests that appear to be related to actual drivingtasks. Tests of physical and cognitive abilities, such as balance, reaction time, andinformation processing, have face validity, to varying degrees, based on the

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 28 --

involvement of these abilities in driving tasks; that is, the tests seem to be relevant“on the face of it.” Horizontal gaze nystagmus lacks face validity because it does notappear to be linked to the requirements of driving a motor vehicle. The reasoning iscorrect, but it is based on the incorrect assumption that field sobriety tests aredesigned to measure driving impairment.

Driving a motor vehicle is a very complex activity that involves a widevariety of tasks and operator capabilities. It is unlikely that complex humanperformance, such as that required to safely drive an automobile, can be measured atroadside. The constraints imposed by roadside testing conditions were recognized bythe developers of NHTSA’s SFST battery. As a consequence, they pursued thedevelopment of tests that would provide statistically valid and reliable indicationsof a driver’s BAC, rather than indications of driving impairment. The link betweenBAC and driving impairment is a separate issue, involving entirely differentresearch methods. Those methods have found driving to be impaired at BACs aslow as 0.02 percent, with a sharp increase in impairment at about 0.07 percent(Moskowitz and Robinson, 1988; Stuster, 1997). Thus, SFST results help officers tomake accurate DWI arrest decisions even though SFSTs do not directly measuredriving impairment.

Horizontal gaze nystagmus is the most accurate diagnostic of BAC available toofficers in the field. HGN’s apparent lack of face validity to driving tasks isirrelevant because the objective of the test is to discriminate between drivers aboveand below the statutory BAC limit, not to measure driving impairment.Throughout the United States, DWI laws permit arrest decisions to be made on thebasis of the statutory BAC limit, irrespective of a specific motorist’s degree ofimpairment. Motorists also can be arrested at BACs below the statutory limit if theirdriving performance is demonstrably impaired by alcohol or other drugs.

CONCLUSIONSThe results of this study provide clear evidence of the validity of the

Standardized Field Sobriety Test Battery to discriminate above or below 0.08 percentBAC. Further, study results strongly suggest that the SFSTs also accuratelydiscriminate above or below 0.04 percent BAC.

Finally, in addition to establishing the validity of the SFST battery, this studyhas found the tests to be acceptable, indeed welcomed, by law enforcement officersand DWI prosecutors.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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REFERENCES

Anderson, E.W. and Burns, M. (1997). Standardized Field Sobriety Tests: A FieldStudy. Proceedings of the 14th International Conference on Alcohol, Drugsand Traffic Safety Volume 2, 635-639.

Aschan, G. (1958). Different types of alcohol nystagmus. Acta Otolaryngology,Supplement 140, 69-78.

Burns, M. and Anderson, E.W. (1995). A Colorado Validation Study of theStandardized Field Sobriety Test (SFST) Battery. Colorado Department ofTransportation.

Burns, M. and Moskowitz, H. (1977). Psychophysical Tests for DWI Arrest. U.S.Department of Transportation, National Highway Traffic SafetyAdministration Final Report DOT-HS-5-01242, Washington, D.C.

Harris, D.H., Dick, R.A., Casey, S.M.,and Jarosz, C.J. (1980). The Visual Detection ofDriving While Intoxicated. U.S. Department of Transportation, NationalHighway Traffic Safety Administration Final Report DOT-HS-7-1538.

Harris, D.H. (1980). Visual detection of driving while intoxicated. Human Factors,22(6), 725-732.

Lehti, H.M.J. (1976). The effects of blood alcohol concentration on the onset of gazenystagmus. Blutalkohol , Vol. 13, 411-414.

Moskowitz, H., and Robinson, C.D. (1988). Effects of Low Doses of Alcohol onDriving-Related Skills: A Review of the Evidence. U.S. Department ofTransportation, National Highway Traffic Safety Administration, DOT-HS-807-280, Washington, D.C.

Pentilla, A., Tenhu, M., and Kataja, M. (1971). Clinical Examination For IntoxicationIn Cases of Suspected Drunken Driving. Statistical and Research Bureau ofTALJA. Iso Roobertinkatu 20, Helsinki, Finland.

Stuster, J.W. (1997). The Detection of DWI at BACs Below 0.10. U.S. Department ofTransportation, National Highway Traffic Safety Administration Final Report(in press).

Stuster, J.W. (1993). The Detection of DWI Motorcyclists. U.S. Department ofTransportation, National Highway Traffic Safety Administration Final ReportDOT-HS-807-839.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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Tharp, V., Burns, M., and Moskowitz, H. (1981). Development and Field Test ofPsychophysical Tests for DWI Arrest. U.S. Department of Transportation,National Highway Traffic Safety Administration Final Report DOT-HS-805-864, Washington, D.C.

Wilkinson, I.M.S., Kime, R., and Purnell, M. (1974). Alcohol and human eyemovement. Brain, 97, 785-792.

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

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APPENDIX A

STANDARDIZED FIELD SOBRIETY TESTING

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 32 --

STANDARDIZED FIELD SOBRIETY TESTING

The Standardized Field Sobriety Test (SFST) is a battery of three tests adminis-tered and evaluated in a standardized manner to obtain validated indicators ofimpairment and establish probable cause for arrest. These tests were developed as aresult of research sponsored by the National Highway Traffic Safety Administration(NHTSA) and conducted by the Southern California Research Institute. A formalprogram of training was developed and is available through NHTSA to help policeofficers become more skillful at detecting DWI suspects, describing the behavior ofthese suspects, and presenting effective testimony in court. Formal administrationand accreditation of the program is provided through the International Associationof Chiefs of Police (IACP). The three tests of the SFST are:

• Horizontal gaze nystagmus (HGN),• Walk-and-turn, and• One-leg stand.

These tests are administered systematically and are evaluated according tomeasured responses of the suspect.

HGN TESTINGHorizontal gaze nystagmus is an involuntary jerking of the eye which occurs

naturally as the eyes gaze to the side. Under normal circumstances, nystagmusoccurs when the eyes are rotated at high peripheral angles. However, when a personis impaired by alcohol, nystagmus is exaggerated and may occur at lesser angles. Analcohol-impaired person will also often have difficulty smoothly tracking a movingobject. In the HGN test, the officer observes the eyes of a suspect as the suspectfollows a slowly moving object such as a pen or small flashlight, horizontally withhis or her eyes. The examiner looks for three indicators of impairment in each eye:if the eye cannot follow a moving object smoothly, if jerking is distinct when the eyeis at maximum deviation, and if the angle of onset of jerking is within 45 degrees ofcenter. If, between the two eyes, four or more clues appear, the suspect likely has aBAC of 0.10 or greater. NHTSA research indicates that this test allows properclassification of approximately 77 percent of suspects. HGN may also indicateconsumption of seizure medications, phencyclidine, a variety of inhalants,barbiturates, and other depressants.

WALK AND TURNThe walk-and-turn test and one-leg stand test are “divided attention” tests

that are easily performed by most unimpaired people. They require a suspect tolisten to and follow instructions while performing simple physical movements.Impaired persons have difficulty with tasks requiring their attention to be dividedbetween simple mental and physical exercises.

In the walk-and-turn test, the subject is directed to take nine steps, heel-to-toe,along a straight line. After taking the steps, the suspect must turn on one foot and

Final ReportValidation of the SFST Battery at BACs Below 0.10 Percent

-- 33 --

return in the same manner in the opposite direction. The examiner looks for eightindicators of impairment: if the suspect cannot keep balance while listening to theinstructions, begins before the instructions are finished, stops while walking toregain balance, does not touch heel-to-toe, steps off the line, uses arms to balance,makes an improper turn, or takes an incorrect number of steps. NHTSA researchindicates that 68 percent of individuals who exhibit two or more indicators in theperformance of the test will have a BAC of 0.10 or greater.

ONE LEG STANDIn the one-leg stand test, the suspect is instructed to stand with one foot

approximately six inches off the ground and count aloud by thousands (Onethousand-one, one thousand-two, etc.) until told to put the foot down. The officertimes the subject for 30 seconds. The officer looks for four indicators of impairment,including swaying while balancing, using arms to balance, hopping to maintainbalance, and putting the foot down. NHTSA research indicates that 65 percent ofindividuals who exhibit two or more such indicators in the performance of the testwill have a BAC of 0.10 of greater.

COMBINED MEASURESNHTSA’s SFST training materials instruct officers in the use of the following

decision table for combining the results of the HGN and Walk and Turn test.

1

2

3

4

5

6

7

8

9

0

1 2 3 4 5 60

Wal

k a

nd

Tu

rn C

lues

HGN Clues

Along the top of the table, circle the number of the subject's HGN clues. Along the left side of the table, circle the number of the subject's Walk and Turn clues. Draw a line down from the number of HGN clues and a line across from the number of Walk and Turn clues. If the intersection is within the shaded area, the subject has a BAC ≥0.10 percent.

DWI INVESTIGATION FIELD NOTESI. NAME_____________________________________________ SEX_____________________ RACE________

ADDRESS_________________________________________ CITY/STATE______________ OP.LIC.NO.____

D.O.B.__________/__________/__________ SOC. SEC. #_____________________________________________

VEHICLE MAKE________________________________ YEAR__________ LIC.__________ STATE_________

DISPOSITION______________________________________ NO. PASSENGERS_____________

INCIDENT LOCATION___________________________________________________________________________

DATE________/__________/__________ TIME______________ CRASH YES NO

II. VEHICLE IN MOTIONINITIAL OBSERVATIONS ________________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF STOP ________________________________________________________________________

_________________________________________________________________________________________________

III. PERSONAL CONTACTOBSERVATION OF DRIVER ______________________________________________________________________

_________________________________________________________________________________________________

STATEMENTS _________________________________________________________________________________

_________________________________________________________________________________________________

PRE-EXIT SOBRIETY TESTS _____________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF THE EXIT _____________________________________________________________________

_________________________________________________________________________________________________

ODORS _______________________________________________________________________________________

_________________________________________________________________________________________________

GENERAL OBSERVATIONSSPEECH ______________________________________________________________________________________

ATTITUDE ____________________________________________________________________________________

CLOTHING ___________________________________________________________________________________

PHYSICAL DEFECTS / DRUGS OR MEDICATIONS USED______________________________________________

IV. PRE-ARREST SCREENINGHORIZONTAL GAZE NYSTAGMUS

LEFT RIGHT

Equal Pupils 9 Yes 9 No k LACK OF SMOOTH PURSUIT

Equal Tracking 9 Yes 9 No k DISTINCT AND SUSTAINED NYSTAGMUS AT MAXIMUM DEVIATION

Vertical Nystagmus 9 Yes 9 No k ONSET OF NYSTAGMUS PRIOR TO 45 DEGREES

Other (i.e., Resting Nystagmus)_____________________________________________________

PBT (1) (optional) Time:__________ Results:__________ PBT (2) (optional) Time:__________ Results:__________

Type of Footwear

WALK AND TURNINSTRUCTIONS STAGE

CANNOT KEEP BALANCE

STARTS TOO SOON

WALKING STAGE

FIRST NINE STEPS SECOND NINE STEPS

STOPS WALKING

MISSES HEEL -TO- TOE

STEPS OFF LINE

RAISES ARMS

ACTUAL STEPS TAKEN

IMPROPER TURN (Describe) _________________________________________________________________________

CANNOT DO TEST (EXPLAIN) ________________________________________________________________________

_________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

ONE LEG STAND

L R

Sways while balancing.

Uses arms to balance.

Hopping.

Puts foot down.

CANNOT DO TEST (EXPLAIN) ___________________________________________________________________________

_____________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

OTHER FIELD SOBRIETY TESTSNAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

HS 178 R2/06

40 Minutes

SESSION IX

TEST BATTERY DEMONSTRATIONS

HS 178 R2/06

SESSION IX TEST BATTERY DEMONSTRATIONS

Upon successfully completing this session, the participant will be able to: o Demonstrate the appropriate administrative procedures for the Standardized

Field Sobriety Testing Battery. CONTENT SEGMENTS LEARNING ACTIVITIES A. Live Classroom Demonstrations o Instructor-Led Demonstration B. Video Demonstration o Participant Demonstration

o Video Presentation

Display IX-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IX-1

40 Minutes

IX TEST BATTERYDEMONSTRATIONS

30 Minutes

A. Live ClassroomDemonstrations

1. Instructor-led demonstrations. Choose a participant-subject.

a. Horizontal and VerticalGaze Nystagmus.

Administer the three tests tothe participant-subject, insequence.

b. Walk-and-Turn.

c. One-Leg Stand.

Carefully articulate all verbalinstructions and physicaldemonstrations.

Discuss participant-subject'stest performances.

Choose a second participant-subject, and repeat the se-quence of test administrations.

2. Participant-led demonstration.

a. Horizontal and VerticalGaze Nystagmus.

b. Walk-and-Turn.

Choose a participant to serveas the test demonstrator.

Choose another participant toserve as the test subject.

c. One-Leg Stand. Monitor and critiquedemonstrator's administrationof the three tests.

10 Minutes

B. Video Demonstration(optional)

Note: This is the same videosegment as shown in Session VII,Phase III, Pre-Arrest Screening.

1. Video Segment #8

Show the NHTSA videoentitled "Standardized FieldSobriety Testing." (Lastsegment on tape one.)

If this video was not shown inSession VII -- show here.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 IX-2

Solicit and answer participants'questions concerning SFSTadministrative procedures.

HS 178 R2/06

Fifty Minutes

SESSION X

"DRY RUN" PRACTICE SESSION

HS 178 R2/06

SESSION X "DRY RUN" PRACTICE SESSION

Upon successfully completing this session, the participant will be able to: o Demonstrate the proper administration of the three Standardized Field

Sobriety Tests. CONTENT SEGMENTS LEARNING ACTIVITIES A. Procedures and Group Assignments o Instructor-Led Presentation B. Live Administration of SFST Battery o Participant Practice Session C. Hands-on Practice o Instructor-Led Presentation

Display X-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 X-1

50 Minutes

X "DRY RUN" PRACTICESESSION

5 Minutes

A. Procedures and GroupAssignments

1. Assign participant to work inteams of three or four.

Make team assignments.

2. Each student will conduct acomplete series of tests, using afellow team member as asubject.

Make sure that all participantsunderstand the practiceprocedures.

a. Horizontal and VerticalGaze Nystagmus.

b. Walk-and-Turn.

c. One-Leg Stand.

3. Team members who are notimmediately participating in aseries of tests (either as testadministrator or as test subject)are expected to take notes ontest administrator'sperformance, and to offerconstructive criticism.

4. Once one team member hasadministered a complete seriesof tests, other members of theteam follow in turn.

Participants should use thechecklist to record each other'sperformance.

5. Practice is to continue untilevery student has administereda complete series of the threetests at least once.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 X-2

15 Minutes

B. Live Administration of SFSTBattery

Instructor to conduct the threestandardized field sobrietytests on an instructor.

Participants to observetechnique and scoring only.

30 Minutes

C. Hands-on Practice Participants carry out "dry run"practice procedures. Instructors circulate amongteams to observe and coachParticipants' performance, asnecessary.

HS 178 R2/06

Two Hours

SESSION XI

"TESTING SUBJECTS" PRACTICE: FIRST SESSION

HS 178 R2/06

SESSION XI "TESTING SUBJECTS" PRACTICE: FIRST SESSION

Upon successfully completing this session, the participant will be able to: o Properly administer the SFST's. o Properly observe and record subject's performance utilizing the standard note

taking guide.

o Properly interpret the subject's performance.

o Proper use and maintenance of the SFST Field Arrest Log. CONTENT SEGMENTS LEARNING ACTIVITIES A. Procedures o Instructor-Led Presentation B. Hands-on Practice o Participant Practice Session

C. Use and Maintenance of SFST Field o Instructor-Led PresentationArrest Log

D. Session Wrap-Up o Instructor-Led Discussion

Display XI-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XI-1

2 Hours

XI "TESTING SUBJECTS"PRACTICE: FIRSTSESSION

NOTE: See Section E, "Guide-lines for Controlled DrinkingPractice Sessions”, pages 12-14of the Administrator’s Guide.

5 Minutes

A. Procedures

1. Participants work in the sameteams that were constituted forthe Dry Run Practice Session.

Make sure that all participantsunderstand the practiceprocedures.

2. Each team will test at least asmany drinking volunteers asthe team has members.

Example: If a team has fourmembers, that team willadminister a complete set oftests to at least four volunteers.

3. Each team member will admini-ster one complete series of teststo at least one drinkingvolunteer.

4. If time permits, teams will test

additional volunteers.

5. While one student isadministering tests to avolunteer, the other teammembers will observe andrecord the volunteer'sperformance.

Emphasize that each teammember is to prepare adescriptive, written test recordon each volunteer tested (usingthe standard note-takingguide).

Example: Three members in ateam evaluating one subjectwill result in three individualwritten records. EACH teammember must determine if thesubject should or should not bearrested.

6. As soon as the team hascompleted the SFSTs on aparticular volunteer, thevolunteer must be escorted by amonitor to the next scheduledteam.

Define the sequence in whichvolunteers will circulate amongteams.

7. Upon termination of thispractice segment, monitors willescort the volunteer subjects tothe Breath Testing Station.

Emphasize that teams will notbe informed of the volunteers'BACs until the session"Wrap-Up".

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XI-2

90 Minutes

B. Hands-on Practice Participants carry out the"drinking subjects" practiceprocedures.

Instructors circulate amongteams to observe and coachparticipants' performance, asnecessary.

Upon completion of practice,teams escort volunteers to theBreath Testing Station.

Teams return to classroom tocomplete report writing assign-ment. An instructor recordsthe BACs of the volunteer.

5 Minutes

C. Use and Maintenance ofSFST Field Arrest Log (IACPstrongly recommends theuse of this log)

1. If options using video sub-jectsare used, maintaining the SFSTField Arrest Log is mandatoryand extremely important.

(Sessions XI-A or XIV-A)

2. The SFST Field Arrest Log isused to record the results of theSFSTs performed on suspectedimpaired subjects.

3. This log is extremely importantin documenting an officer'sexperience and proficiency inperforming and interpretingSFSTs.

Point out log should be used torecord the results of ALLSFSTs administered.

Emphasize: The logs may beused as evidence in court.

Display XI-1

4. This log has the followingcomponents:

a. The actual date the SFSTswere administered.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XI-3

b. Subject’s full name.

c. Results of each SFST test.

Direct participants to transfertheir documentation from thenote taking guide to the log.

d. Classification of BAC asabove or below 0.10 BAC.

e. Arrest/Not Arrest.

f. Subject’s measured BAC (ifavailable).

g. Remarks.

5. Utilization of log.

NOTE: Classification shouldreflect your state standard (i.e.,0.08, 0.10).

20 Minutes

D. Session Wrap-Up

1. Teams report their observationsof volunteers.

Solicit SFST results on eachvolunteer. Record results ondry-erase board (See samplechalk-board array on nextpage).

2. Instructors notify participantsof volunteers' BACs.

Instructor notifies participantsof volunteers' BACs, asobtained during the breathtests.

Write BACs next to volunteers'names or code letters on thedry-erase board.

Solicit participants' comments,questions or observationsconcerning the relationshipbetween volunteers' BACs andtheir performances on the tests.

HS 178 R2/06 XI-4

SAMPLE DRY-ERASE BOARD ARRAY FOR

TABULATING RESULTS

"Designated Horizontal Gaze Walk And One-Leg Arrest Suspects" Nystagmus Turn Stand ? "A"

"B"

"C" "D"

"E"

"F" "G"

"H"

"I" "J"

ATTACHMENT(S)

DWI INVESTIGATION FIELD NOTESI. NAME_____________________________________________ SEX_____________________ RACE________

ADDRESS_________________________________________ CITY/STATE______________ OP.LIC.NO.____

D.O.B.__________/__________/__________ SOC. SEC. #_____________________________________________

VEHICLE MAKE________________________________ YEAR__________ LIC.__________ STATE_________

DISPOSITION______________________________________ NO. PASSENGERS_____________

INCIDENT LOCATION___________________________________________________________________________

DATE________/__________/__________ TIME______________ CRASH YES NO

II. VEHICLE IN MOTIONINITIAL OBSERVATIONS ________________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF STOP ________________________________________________________________________

_________________________________________________________________________________________________

III. PERSONAL CONTACTOBSERVATION OF DRIVER ______________________________________________________________________

_________________________________________________________________________________________________

STATEMENTS _________________________________________________________________________________

_________________________________________________________________________________________________

PRE-EXIT SOBRIETY TESTS _____________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF THE EXIT _____________________________________________________________________

_________________________________________________________________________________________________

ODORS _______________________________________________________________________________________

_________________________________________________________________________________________________

GENERAL OBSERVATIONSSPEECH ______________________________________________________________________________________

ATTITUDE ____________________________________________________________________________________

CLOTHING ___________________________________________________________________________________

PHYSICAL DEFECTS / DRUGS OR MEDICATIONS USED______________________________________________

IV. PRE-ARREST SCREENINGHORIZONTAL GAZE NYSTAGMUS

LEFT RIGHT

Equal Pupils 9 Yes 9 No k LACK OF SMOOTH PURSUIT

Equal Tracking 9 Yes 9 No k DISTINCT AND SUSTAINED NYSTAGMUS AT MAXIMUM DEVIATION

Vertical Nystagmus 9 Yes 9 No k ONSET OF NYSTAGMUS PRIOR TO 45 DEGREES

Other (i.e., Resting Nystagmus)_____________________________________________________

PBT (1) (optional) Time:__________ Results:__________ PBT (2) (optional) Time:__________ Results:__________

Type of Footwear

WALK AND TURNINSTRUCTIONS STAGE

CANNOT KEEP BALANCE

STARTS TOO SOON

WALKING STAGE

FIRST NINE STEPS SECOND NINE STEPS

STOPS WALKING

MISSES HEEL -TO- TOE

STEPS OFF LINE

RAISES ARMS

ACTUAL STEPS TAKEN

IMPROPER TURN (Describe) _________________________________________________________________________

CANNOT DO TEST (EXPLAIN) ________________________________________________________________________

_________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

ONE LEG STAND

L R

Sways while balancing.

Uses arms to balance.

Hopping.

Puts foot down.

CANNOT DO TEST (EXPLAIN) ___________________________________________________________________________

_____________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

OTHER FIELD SOBRIETY TESTSNAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

HANDOUT(S)

HS 178 R2/06 1

Handout XI-2

Date Name HGN WAT OLSBAC+/-.10

ArrestNot Arrest

MeasuredBAC Remarks

HS 178 R2/06

Two Hours

SESSION XI-A

"TESTING SUBJECTS" PRACTICE: FIRST SESSION

(USED FOR OPTIONS ONE OR TWO)

HS 178 R2/06

SESSION XI-A

"TESTING SUBJECTS" PRACTICE: FIRST SESSION

Upon successfully completing this session, the participant will be able to:

o Properly administer the SFST's.

o Properly observe and record subject's performance utilizing the standard notetaking guide.

o Properly interpret the subject's performance.

o Proper use and maintenance of SFST field arrest log.

CONTENT SEGMENTS LEARNING ACTIVITIES

A. Procedures o Instructor-Led Presentation B. Practical Exercise o Participant Practice Session

C. Use and Maintenance of SFST FieldArrest Log o Instructor-Led Presentation

D. Session Wrap-Up o Instructor-Led Discussion

Display XI-A-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XI-A-1

2 Hours

XI-A "TESTING SUBJECTS"PRACTICE: FIRSTSESSION

5 Minutes

A. Procedures

1. Participants work in the sameteams that were constituted forthe Dry Run Practice Session.

Make sure that all participantsunderstand the practiceprocedures.

2. Distribute video score sheets,have participants fill in theirname and team number.

NOTE: Have sufficient copies ofhandout XI-A1 available. (Minimum of six copies perstudent.)

a. Advise participants thateach subject will be viewedperforming all three tests. Pauses are providedbetween each test to allowparticipants time to recordobserved clues.

NOTE: Point out thatparticipants will have only onechance to view each subject. Review can be conducted afterthe “wrap-up”.

b. Advise participants thatwhen viewing theadministration of HGN (inthe check for angle of onset)they will be provided twoviews. The first will showthe stimulus in relation tothe subject’s shoulder atonset. The second view willbe a close-up of the eyecaptured in that position.

Participants shall record thenumber of clues observed, inthe boxes located opposite eachtest.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XI-A-2

c. Advise participants that twoviews of the subject per-forming the walk and turnare also provided. The firstis an overall view of bothstages. The second is aclose up of the subject’s feetwhile walking.

90 Minutes

B. Practical Exercise

1. Divide class into two groups. Each team member will administer a complete SFSTbattery on another studentunder the direct supervision ofan instructor.

2. It is recommended that half theclass perform the SFSTs underthe direction of instructor whilethe remainder of the classviews, records and interpretsthe NHTSA/IACP approvedvideos for this session. Oncecompleted, the groups switchroles.

EACH team member viewingthe videos must determine ifthe subject should or shouldnot be arrested.

Emphasize that each officer isto prepare a descriptive,written test record on eachvideoed subject, using thestandard note taking guide.

Emphasize that teams will notbe informed of the volunteers'BACs until the session"Wrap-Up".

3. If time permits, participantswill administer additional teststo each other.

5 Minutes

C. Use and Maintenance ofSFST Field Arrest Log

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XI-A-3

1. If options using video-tapedsubjects are used, maintainingthe SFST Field Arrest Log ismandatory and extremelyimportant.

2. The SFST Field Arrest Log isused to record the results of theSFSTs performed on suspectedimpaired subjects.

3. This log is extremely importantin documenting an officer'sexperience and proficiency inperforming and interpretingSFSTs.

Point out log will be used torecord the results of ALLSFSTs administered.

Emphasize: The logs may beused as evidence in court.

Display XI-A-1

4. This log has the followingcomponents:

a. The actual date the SFSTswere administered.

b. Subject's full name.

c. Results of each SFST test.

d. Classification of BAC.

e. Arrest/Not Arrest.

f. Subject's measured BAC (ifavailable).

g. Remarks.

Direct participants to transfertheir documentation from thenote taking guide to the log.

Point out each category as it isaddressed.

Above or below your state’slimit (i.e., 0.10 BAC or 0.08BAC).

5. Utilization of log.

a. The documentation willinclude subject’s name, date,results of each test, theofficer’s classification ofsubject’s BAC and measuredBAC, if available. A samplelog is included in SessionVIII.

NOTE: Student may enterrefusals, referrals to DRE orother appropriate information.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XI-A-4

20 Minutes

D. Session Wrap-Up

1. Officers report theirobservations of video-tapedsubjects.

Solicit officer's SFST results oneach video-taped subject. Record results on dry-eraseboard (See sample dry-eraseboard array on next page).

2. Instructors notify participantsof video-taped subjects' BACs.

Instructor notifies participantsof video-taped subjects' BACs.

Write BACs next to video-tapedsubjects' names or code letterson the dry-erase board.

Solicit participants' comments,questions or observationsconcerning the relationshipbetween video-taped subjects'BACs and their performanceson the tests.

HS 178 R2/06 XI-A-5

SAMPLE DRY-ERASE BOARD ARRAY FOR

TABULATING RESULTS

"Designated Horizontal Gaze Walk And One-Leg Arrest Suspects" Nystagmus Turn Stand ?

"A"

"B"

"C"

"D"

"E"

"F"

"G"

"H"

"I"

"J"

HANDOUT(S)

HS 178 R2/06

One Hour and Thirty Minutes

SESSION XII

PROCESSING THE ARRESTED SUSPECT AND

PREPARATION FOR TRIAL

HS 178 R2/06

SESSION XII PROCESSING THE ARRESTED SUSPECT AND PREPARATION FOR TRIAL

Upon successfully completing this session, the participant will be able to: o Discuss the importance of correct processing and report writing procedures in

DWI arrests. o Discuss the correct sequence of DWI suspect processing procedures. o Discuss the essential elements of the DWI arrest report. o Discuss the importance of pretrial conferences and presentation of evidence

in the DWI trial. CONTENT SEGMENTS LEARNING ACTIVITIES A. The Processing Phase o Instructor-Led Presentations B. Preparing the DWI Arrest Report: o Video Presentation

Documenting The Evidence C. Narrative DWI Arrest Report o Interactive Discussion D. Case Preparation and Pretrial Conference o Video Presentation E. Guidelines for Direct Testimony o Video Presentation

Display XII-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-1

90 Minutes

XII PROCESSING THEARRESTED SUSPECT ANDPREPARATION FOR TRIAL

5 Minutes

A. The Processing Phase

1. Relationship to overall DWIenforcement function.

a. Processing of arrested sus-pect is the bridge betweenarrest and conviction of aDWI offender.

Remind participants to becomethoroughly familiar with theiragency's guidelines forprocessing individuals.

b. During processing phase, allevidence gathered duringthe detection phases isorganized to ensure that itwill be available andadmissible in court.

c. Additional evidence may beobtained during theprocessing phase,subsequent to arrest.

Ask a student to givean example of suchpost-arrest evidence.

(e.g. evidential chemical test).

d. It is important that properprocedures be followed du-ring this phase; otherwise,important evidence might beruled inadmissible, andtherefore worthless.

Ask a student to sug-gest how a proceduralerror during theprocessing phase might

cause some evidence to be ruledinadmissible.

Display XII-1

2. The processing phase beginswith the arrest of the offender.

3. Processing ends when theoffender is incarcerated orreleased to a responsible thirdparty (depending onjurisdiction).

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-2

15 Minutes

B. Preparing the DWI Offense/Arrest Report: Documentingthe Evidence

1. Successful prosecution dependson clarity and completenesswith which the arrestingofficer's and the evaluator'sobservations are presented.

a. Arresting officer must beable to convey observationswith sufficient clarity toconvince others there wasprobable cause to believethe suspect was under theinfluence.

Point out that officer's effortsin detecting, apprehending,investigation, arresting andtesting DWI offenders are oflittle value if officer cannotdocument sufficient evidence toprove each element of the DWIoffense.

b. Chemical test evidence andadditional evidencegathered subsequent to thearrest may be suppressed ifthe arresting officer does notadequately establishprobable cause for the arrestprior to the chemical test.

c. DWI trials are often heldmany months after thedefendant's arrest.

d. A clear, concise report willenable the officer to recallthose details and presentthem through directtestimony.

2. Evidence must be clearlyconveyed in the formalstructured reports (forms) andin a narrative offense/arrestreport.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-3

3. A well-written, clear andconvincing narrative reportincreases the likelihood thatconviction will result because:

Display XII-2

o Prosecutor is more likely tofile the charge if theevidence is organized,clearly documented andcompelling.

o Defense is less likely tocontest the charge when thereport is descriptive,detailed and complete.

o Helps to ensure convincingverbal testimony in court.

4. The written report shoulddocument all evidence availableto establish the essential ingre-dients of the prosecution's case.

a. That there was probablecause for arrest.

(1) the accused was theoperator or in actualphysical control of thevehicle;

(2) there was reasonablesuspicion for stopping/contacting the accused;and,

NOTE: Instructor should befamiliar with all applicablestate laws defining theseterms.

(3) there was probablecause to believe theaccused was impaired.

b. That proper arrestprocedures were followed.

c. That proper procedure wasfollowed with regards to therights of the accused.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-4

d. That subsequent observa-tion and interview of theaccused provided additionalevidence relevant to thealleged offense.

e. That there was a properrequest for the accused tosubmit to the chemical test.

5. The narrative offense/arrestreport should be organizedaround the total sequence ofevents, beginning at the firstobservation of the offender,continuing through the arrest,and ending with the incarcera-tion or release of the subject.

6. The DWI Investigation FieldNotes describing the evidenceobserved during the threephases of detection greatlyassist preparation of thenarrative offense/arrest report.

7. Video segment of nighttimeDWI arrest.

Handout copies of DWIInvestigation Field Note form. Show video #2 segment #1. Allow participants 4-5 minutesto complete notes.

20 Minutes

C. Narrative DWI ArrestReport

1. Report writing is an essentialskill for every officer.

Point out that good reportwriting becomes second naturewith practice.

2. While there is no one best wayto write a report, it is helpful tofollow a uniform format.

Point out that officers shouldbe guided by departmentalpolicies and/or instructions orrequirements specified by theprosecutor.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-5

Display XII-3A and3B

3. Observation/results recorded onthe field notes can be used torefresh the officer's memorywhen preparing the narrativereport.

Selectively reveal the essentialelements of narrative report viaslides XII-3a and XII-3b.

4. Suggested report writingformat.

a. Initial Observations

o First observations of the

offender and theiractions;

o Factors that drew

officer's attention;

o Time and location offirst observations.

Point out that not every reportwill require all elements: somemay be missing or irrelevant tosome DWI investigations.

Briefly discuss each element.

b. Vehicle Stop

o Unusual actions taken;

o Offender's response tothe stop command;

o Method(s) officer used to

signal the stopcommand;

o The fashion in which the

offender stopped thevehicle.

c. Face-to-Face Contact

o Offender's personalappearance;

o Condition of eyes,speech, etc.;

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-6

o Names, numbers,seating locations ofpassengers;

o Unusual actions taken;

o Unusual statementsmade;

o What officer saw, heardand smelled.

d. Operation/Actual PhysicalControl.

o Establish offender as

the operator.

e. Exit from Vehicle

o Unusual actions,occurrences.

f. Field Sobriety Tests

o Physical performance;o Mental performance.

g. The Arrest

h. Disposition/Location ofVehicle and Keys

i. Disposition of Passengers

and Property.

j. Transport of Offender

o Departure time; o Arrival time.

k. Evidential Tests

o What tests; o Who administered; o Test results.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-7

l. Implied Consent/MirandaAdmonitions

o When given.

m. Statements of Witnesses

n. Notification of Offender'sAttorney or Other Party

o Time of call(s); o Result of call(s).

o. Citations/Complaints

o Charges issued; o When issued.

p. Incarceration or Release

o Time; o If released, to whom.

q. Additional Chemical Tests

o Types of test; o Time taken; o Where taken; o By whom administered.

Solicit participants' questionsconcerning the narrative DWIarrest report elements.

Refer participants to samplereport in their manual.

5. Video presentation “ConductingThe SFSTs on a DUI Stop”

Show segments 1 and 2 of tapetwo. Distribute copies ofsample narrative arrest report.

a. Discussion Emphasize the Phase One,Two, and Three indicators ofimpairment.

Solicit participants questionsand comments concerning thevideo and sample narrativereport.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-8

25 Minutes

D. Case Preparation andPretrial Conference

1. Guidelines for case preparation.

a. Case preparation continueswith your first contact withthe subject:

o Use field notes to

document evidence.

o Accurately notestatements and otherobservations.

o Review the case with

other officers whowitnessed the arrest orotherwise assisted youand note relevant facts.

Point out that it is essentialthat reports are corroborativeor when differences occur, thatthey be adequately explained. The defense will try to impeachyour testimony over anyinconsistencies.

Ask participants toidentify relevantrecords/ reports to bereviewed. Probe until

appropriate items areidentified.

b. Upon receipt of subpoena orother notification of trialdate:

(1) Review all records andreports.

o Field notes o Narrative report o Chemical test

resultso Other

(2) Revisit the scene if

appropriate.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-9

(3) During discovery, list allevidence and properlydocument it.

Point out that evidence will notbe admitted if these proceduresare not followed.

(4) Compare notes withassisting officers.

Exactness and attention todetail are very important.

2. The pretrial conference.

a. Successful DWI prosecutionalso depends on clarity andcompleteness with which anofficer's observations arepresented.

Emphasize that the defendantin a DWI case could beacquitted if the officerstestimony was not sufficient toestablish probable cause orprove beyond a reasonabledoubt that the defendant wasimpaired.

(1) Officer must be able toconvey observationswith sufficient clarity toconvince others thatthere was probablecause to believe thesuspect was under theinfluence.

(2) Chemical test evidencemay be suppressed if theofficer does notadequately establishthat there were reason-able grounds for thearrest prior to the test.

b. A pretrial conference withthe prosecutor assigned tothe case is essential. Try toinsist on a pre-trialconference if at all possible.

Point out to participants thatthe prosecutor will be able todevelop an officer's testimonyto bring out the most importantfacts necessary to convict thedefendant.

(1) The prosecutor needs anopportunity not only toreview the evidence butto discuss case strategy.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-10

(2) BE HONEST ANDFORTHRIGHT.

(3) Review all evidence and

reasons for yourconclusions.

Point out that there shouldbe "no surprises" during thetrial.

(4) If there are weak/strongpoints in your case,bring them to theattention of theprosecutor.

c. Ask the prosecutor to reviewthe trial tactics/ evidence tobe presented:

Ask the participants to giveexamples of items to bediscussed at a pretrialconference.

o The officer's trainingand experience.

o The narrative arrest

report.

o The officer's ability toarticulate observations.

o Documents to bepresented at the trial.

o Questions the prosecu-tor will ask the officer.

o Anticipated defense

tactics.

o Responses to defensearguments andquestions.

o The defendant's drivingrecord.

d. The main point is tofamiliarize the prosecutorwith the case and yourqualifications as a witness,

Again, "no surprises."

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-11

and to review case strategy.

e. If you cannot have a pretrialconference, try to identifythe main points to be dis-cussed with the prosecutorin the few minutes you willhave just before the trial.

Point out that due to a varietyof reasons, prosecutors are notable to have pre-trial confer-ences. That does not meanthey are unconcerned. Try tosee it from their viewpoint.

3. Pretrial conference

a. Videob. Discussion

If time allows, show video #2segment #2 . (10 minutes)

Emphasize the importance ofthe discussion of a DWI casebetween the arresting officerand the prosecuting attorneyprior to going to trial.

Solicit participants' questionsconcerning the pretrialconference.

25 Minutes

E. Guidelines for DirectTestimony

1. General guidelines. Keep this in mind at all times.

a. Basic job is to prove thatsuspect was impaired byalcohol and/or other drugs.

b. Don't be afraid to say "I

don't know."

c. Avoid contact with the de-fense attorney if possible.

d. Don't be upset if prosecutorand defense attorney appearfriendly to each other.

Remind participants that bothsides have a specific role toplay in the case, but that doesnot preclude a personal orprofessional relationship.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-12

e. Jury focuses on an officer'sdemeanor more thancontent of testimony.

Point out that officer should bepolite and courteous duringtestimony...do not becomeagitated as a result of defensequestions. Do not takepersonal issue with defensestatements, stick to the facts.

f. Do not bring manuals orarticles into court forreference.

Review training manuals andother materials before court tobecome familiar with contents.

g. Explain technical terms inlayman's language.

For example, nystagmus meansan involuntary jerking of theeyes. Horizontal GazeNystagmus occurs as the eyesgaze toward the side.

h. Pay attention to whatevidence/testimony can beand is excluded.

Point out that if officer testifieson subject matter that wasexcluded, it could result in amistrial.

i. When describing suspect'sperformance on SFST's,state that suspect "perform-ed the test as demonstra-ted" or "did not perform thetest as demonstrated." Provide specific descriptivedetails concerning exactlywhat the suspect did orfailed to do on the test (e.g.,"stepped off the line twiceand staggered whileturning.")

j. Do not appear biasedagainst defendant. Testifyaccurately and completely,but also dispassionately.

Be sure to emphasize that allevidence is taken into accountbefore forming an opinion.

Point out that officers shouldnot embellish theirtestimony...be careful not toopen any doors for the defense.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-13

Point out that the defenseattorney's job is to try to createa "reasonable doubt." Don'ttake it personally.

2. Video segment three, tape two(The Courtroom Testimony)

During this video segment,the prosecutor asks threeimport-ant questions of theofficer. Each question isfollowed by a stop sign icon.

Instructors are asked tosolicit responses from theparticipants on how theywould answer thatquestion. Discussion canfollow.

3. Typical defense tactics.

a. The defense relies onseveral factors to "impeach"or discredit your testimony.

Arresting officer's and assistingofficer's testimony should becorroborative. Any differencesmust be explained.

(1) By impeaching yourcredibility:

o Inconsistencies Get your facts straight andstick to them.

o Comparison withpast testimony

Try to get copies of transcriptsof previous trials to review yourstrong/weak points. If possible,review your testimony with theprosecutor.

o Testimony that is at odds with other established experts

Do your homework...review theliterature. Explain anydifferences if possible.

o Lack of recall Try to be prepared, butdon't be afraid to say "Idon't know." Be honest.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-14

b. By exposing the court toalternative conditions whichaccount for yourobservations:

o Sickness, o Injury, o Other.

c. Defense will challenge yourcredentials... a bona fideexpert has both formaltraining resulting in a highdegree of knowledge andexperience in applying thatknowledge, by:

Point out that if the defensecan discredit your trainingand/or experience your testi-mony will have little "weight"with the jury.

o Directly challengingformal training andexperience.

o Demonstrating the

officer lacks knowledgein the field by contrast-ing officer's knowledgewith the defense expert'sknowledge.

The trial tactic is to show thatthe officer does not have theexpertise to accurately identifyimpairment because ofinadequate formal trainingwhich lessens the value of fieldexperiences and increaseslikelihood that the officer’sconclusions are wrong.

d. By demonstrating that theofficer did not follow testingprocedures established bydepartmental policy,training or legal precedent.

Point out that field sobrietytests should be administered"by the book" each and everytime they are conducted.

4. Video segment four, tape two(DWI Courtroom Testimony)

a. Video b. Discussion

If time allows, show the videosegment of actual courtroomtestimony in "DWI CourtroomTestimony" (15 minutes).

Summarize the relationshipbetween detection phases, fieldnotes, narrative report, pre-trial conference and directtestimony.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XII-15

Emphasize the need for clearand convincing testimony.

Solicit participants questionsand comments concerningdirect testimony.

ATTACHMENT(S)

HS 178 R2/06 1

ATTACHMENT A

TRIAL TIPS & TECHNIQUES

Courtroom Decorum

1. TELL THE TRUTH. Honestly is the best policy. Telling the truth requires that a witness testify accurately as to what he knows. If you tell the truth andare accurate, you have nothing to fear on cross- examination.

2. Condense your professional resume on to a 3x5 card, which you bring to courtwith you each time you receive a subpoena. On it, include your P.O.S.T.certification date, classes taken as a law enforcement office, and other specialawards or permits you have.

3. READ YOUR INCIDENT REPORT before you come to court. Go over thedetails in your mind so that you will have an independent recollection of theevents of the arrest. DO NOT come to court and ask the prosecutor for a copy ofyour report. Do ask, prior to court, if you cannot locate a copy of your request.

4. Dress neatly and professionally; leave sunglasses, PR-24, flashlight and othercumbersome equipment in your car before coming into the courtroom, unlessneeded for a demonstration. Wear a coat and tie if you prefer.

5. Do not guess the answer to any question asked. It is OKAY to say “I don’tknow” or “I can’t remember” in response to questions. Do no give theimpression that you are guessing the answer by prefacing your response with “Ithink” or “I believe.” If you do not know the answer, it is okay to look at yourreport and refresh your memory. Always give definitive, positive, sure answers.

6. Listen carefully to the question asked. Do not begin your answer until theprosecutor has finished asking the question. Be sure you understand thequestion before you attempt to give an answer. If necessary, ask that thequestion be repeated or rephrased if you do not understand it.

7. Take your time. Do not feel pressured to give a quick answer. After a questionis asked, there may be an objection; allow this to happen. When you hear thework, “objection”, stop testifying.

HS 178 R2/06 2

8. Answer the question that is asked, then stop. Do not volunteer information notasked for, or you will risk causing a mistrial, or even an immediate acquittal. DO explain an answer, if you feel your answer might appear ambiguous to thejury. You are always permitted to explain your answer. Tell the prosecutorprior to your testimony if there is anything you feel the prosecutor needs toknow, but might not!

9. Be serious in the courthouse…Jurors are aware that criminal prosecutionsare serious business.

10. Speak clearly and loudly enough so that you can be easily heard.

11. Look at the jury when testifying, even when the defense attorney asking thequestion is not standing near the box. Always talk to the jury, and maintaineye contact with them, even if it feels unnatural to you.

12. Always be courteous, even when the defense attorney is not. Control yourtemper, and never allow yourself to be drawn into an argument with thatattorney. Remember, the best way to make a good impression with the jury isto appear courteous and professional. You were just doing your job during thearrest, and you do not have a personal stake in the case.

13. Testify in English. Do not say, “The perpetrator exited the vehicle” when inreality “the defendant got out of his car.” The person on trial is never a “lady”or “gentlemen,” but is always “the defendant.” Do not use military timeswithout clarifying the time in laymen’s terms. Do not use call signals. Itmakes more sense to the jury when you speak the same language as they do.

14. It is permissible and desirable to discuss the case with the prosecutor beforetrial. A defense attorney may ask this question; tell the truth. Obviously, aprosecutor will try to discuss the case with the witnesses before trial; bestraight forward in answering this question.

15. A defense attorney will always ask whether you have an independentrecollection of the case. That is, aside from your police report or other notes, doyou remember the event? Any fact that you remember about the stop and/orarrest of the defendant would be sufficient to answer this question positively.

HS 178 R2/06 3

Specific DUI Trial Recommendations

1. Never give the numerical alco-sensor reading of the defendant when asked by the prosecutor. However, if the defense attorney asks you for the NUMERICALreading, give it to him/her. The prohibition of alco-sensor results of a defendantdo not apply to witnesses, such as passengers in the car.

2. Always demonstrate how you conducted field sobriety evaluations. If theprosecutor forgets to ask you to come off the witness stand to demonstrate,suggest that it will aid your testimony. Be certain, however, that you can do incourt all the evaluations you asked the defendant to perform the night of thearrest. If you cannot do them, the jury will not expect the defendant to havedone them properly.

3. Know the reasons for giving field sobriety evaluations:- They are divided attention test, designed to detect when a person in

impaired by alcohol and/or drugs.- They provide evidence of intoxication in case defendant refuses to take a

state administered test under implied consent.- They prevent an arbitrary decision to arrest, and allow an Office to

articulate the reasons for concluding a driver was DUI to someone notpresent at the scene.

4. You are not required to know, and in fact know nothing, about the Intoxilyzer5000 or your jurisdiction breath test instrument, its internal workings oranything other than how to operate it and take a breath sample from adefendant. You are merely an operator of an instrument, and while you havebeen taught something about how the instrument works when you becamecertified as an operator, never testify to its internal workings, or the defenseattorney will discredit you, and make you out to be a “thinks-he-knows-it-all”who really knows nothing.

Do Not bring the Intoxilyzer 5000 Operator’s manual to court, or the log, unlessinstructed to by the prosecutor. Discuss any subpoena to produce that you mayreceive with the prosecutor, before complying with the subpoena.

HS 178 R2/06 4

5. Be aware that the margin of error in the Intoxilyzer 5000 is not + or - .02. The.02 grams comes into play in that the State’s breath test results are notadmissible if the sequential breath tests differ by more than .020 grams. If thetwo breath samples differ by more than .02 grams then the Intoxilyzer 5000will give you an error message and you can either wait 20 minutes and give thedefendant another breath test or take the defendant for a blood test. Also,margin of error only applies to statistical sampling such as polling data used inpolitical campaigns. It does not apply to scientific instruments such as theIntoxilyzer 5000. According to the manufacturer the precision of theinstrument is a standard deviation of 0.003 BrAC or better and the accuracy isbetter than federal requirements, ± 3% or ± 003 BrAC, whichever is greater. Furthermore, the instrument has been approved by the Federal Department ofTransportation.

6. If you get an “Invalid Sample” on the Intoxilyzer 5000 the instrument hasdetected residual mouth alcohol in the subject’s breath. You must restart atwenty-minute waiting period and repeat the test or take the subject for a bloodtest. Remember to write the blood drawer’s name on the police report! It isalso a “best practice” to witness the blood draw yourself – this may allow theprosecutor not to have to call the hospital personnel as a witness.

7. When testifying about field sobriety evaluations remember to discuss the levelof impairment of the defendant. Officers can testify to numerical scores on afield sobriety test, including HGN, and can testify to the level of impairment. For example you could say; “the defendant scored four out of a possible six clueson the HGN and four clues is considered impaired.” Sieveking v. State, 220 Ga.App. 218 (1996). A police officer can state a defendant “failed” a field sobrietytest. However, see number 9 below!!!!!

8. If you are NHTSA trained and testify as to the accuracy of the field sobrietytests, make sure you know the numbers and their significance. Consideredindependently, the Nystagmus test was 77% accurate, the Walk-and-Turn, 68%accurate, and the One-Leg Stand, 65% accurate in identifying subjects whoseBAC were .10 or more. NHTSA also found that it would be possible to combinethe results of Nystagmus and Walk-and-Turn in a: decision matrix”, andachieve 80% accuracy. The problem with numbers is that if you get confused,you can jeopardize a driving under the influence case. So follow the dictates ofnumber 9 below.

Be sure the officer is aware that NHTSA has done validation studies, and theSFST is considered very useful in determining whether or not a defendant isdriving while intoxicated. The officer doesn’t have to know the numbers, orcare, because in this case, this defendant was impaired.

HS 178 R2/06 5

9. With a proper Motion In Limine from the prosecutor, you can testify only as tothe observations you make on the field sobriety evaluations. You wouldtherefore not testify about the numbers of clues or whether the defendantpassed or failed any tests. Thus, you would ignore the advice given in numbersseven and eight above. It is very important that you discuss this option withthe prosecutor in advance of trial. This avoids the NHTSA requirements ofpassing or failing a test based on the number of clues. You would only testify asto what you observed regarding the defendant’s manifestations of intoxicationand performance of the field sobriety evaluations.

Police Witnesses

Although police officers and other professionals peripherally involved with thecriminal justice system should be by nature more cooperative and competent aswitnesses, it is not wise to assume too much, particularly if you haven’t had thatperson as a witness on prior occasions. Leave nothing to chance. It is safer toprepare these witnesses as any other civilian witness. Accomplish this by alwaysbeing mindful of the same considerations listed above and cover everything, eventhe basics. Some frequently encountered pitfalls with these kinds of witnessesinclude: a) relying too much on notes and reports; b) arguing with defense counsel;c) appearing to be too invested in obtaining a conviction; d) offering unsolicited andimproper conclusions and opinion testimony; e) being non-responsive to the point ofadding gratuitous comments; f) using too much law enforcement jargon; g) beingoverly defensive when in error; h) relying on too much “we” type of testimonyinstead of telling what they did themselves, or testifying to what they usually do asopposed to what they actually did in this case.

HS 178 R2/06 1

SAMPLE DWI INCIDENT REPORT

Defendant: Eryn Greenfield Age: 31Date of Birth: 10/03/70Date of Arrest: XX-XX-XX Time of Arrest: 9:20 pm CA - D.L. #: CA 1234567 First Observations: On XX-XX-XX at approximately 9:00 p.m., I was patrolling westbound on Reed Avenue atthe intersection with Interstate-80 (fully marked CHP patrol vehicle #904534). I wasstopped at the intersection preparing to make a left turn onto eastbound I-80. I observed ayellow Volkwagon (S/V) traveling down the eastbound I-80 exit ramp approaching theintersection with Reed Avenue. I noticed the S/V traveling with no headlights. Furthermore, I noticed the right tires of the S/V travel over the solid white fog line on theexit ramp by approximately 2 feet. The S/V made a brief stop at the intersection, thenmade a right turn onto eastbound Reed Avenue. I made a U-turn and followed the S/V. The S/V then made a wide right turn from Reed Avenue onto southbound Riverpoint Drive. An enforcement stop was initiated at which point the S/V began to pull to the right. At thepoint the right front tire of the S/V rubbed up onto the raised concrete curb that paralleledthe roadway.

Observations After The Stop:

I approached the S/V on the passenger side and made contact with the driver (convertible-top down). I immediately noticed that the driver had red and watery eyes. I advised her ofthe reason for the stop and asked if her vehicle had any mechanical problems. She stated,“no.” I requested her driver’s license, registration, and insurance. The driver removed astack of cards from her wallet, which was located in her purse on right front passenger seat. She began sifting through the stack of cards. I observed her clearly pass by her license andcontinue searching through the cards. Unable to locate her license on the first attempt, shestarted over at the top and located the license on the second attempt. She was identified asEryn Greenfield by California driver’s license (#CA1234567). After handing me the license,she did not make an attempt to retrieve the other documents I had requested. I asked heragain for the registration and insurance cards. She then retrieved them out of the glovecompartment. I asked her how much alcohol she had consumed and she stated “a couple ofbeers about an hour ago.” I asked her what size and type of beer and she replied with 12oz.bottles of Heineken. I asked her if she felt the effects of the drinks and she stated, “No, Ifeel fine.” As she spoke, I noticed that her speech was slurred. I asked her to exit thevehicle and step to the side walk so I could administer several field sobriety tests to her (seefield sobriety test section). As she exited the vehicle, she stepped around the front asinstructed, then stumbled on the raised curb. I asked her several pre-field sobriety testquestions of which she answered accordingly (see page 2 of face page). As I communicatedwith her, I smelled an odor of alcoholic beverage emitting from her breath.

HS 178 R2/06 2

Field Sobriety Tests: This evaluation was performed on Riverpoint Drive, just south of Reed Avenue. Theevaluation surface was smooth concrete. Lighting conditions consisted of patrol vehicleheadlights, spotlights, overhead lights, streetlight, and my flashlight. No surface defectswere noted or claimed.

Horizontal Gaze Nystagmus (explained):

I observed lack of smooth pursuit, distinct and sustained nystagmus at maximumdeviation, and an onset of nystagmus prior to 45 degrees in both of Greenfield’seyes.

Walk and Turn (explained and demonstrated):

Instruction Stage: Lost balance (feet broke apart)

Walking Stage (1st Nine): Walked 10 steps (counted 10).Raised left arm over 6 inches away from body toassist with balance (at steps 4-5).

Walking Stage (2nd Nine): Walked 10 steps (counted 9).Raised left arm over 6 inches away from body toassist with balance (at steps 6-7).

Turn: Lost balance during turn.

One Leg Stand (explained and demonstrated):

Greenfield raised her left leg and began counting. She put her foot down on counts1006 and 1009. As she was counting, she skipped 1017 (counting from 1016 to1018). Used right arm for balance (6+ inches from body). She counted to 1019after 30 seconds.

Arrest:

Based on the following information, I formed the opinion that Greenfield was driving underthe influence of an alcoholic beverage:

! Driving at night with no headlights.! Driving to the right of the solid white fog line on exit ramp.! Making wide right turn from eastbound Reed Avenue to southbound

Riverpoint Drive.! Right tire rubbing against raised concrete curb after stop was initiated.! My observed divided attention problems while retrieving her

license/registration and insurance.! Her red, watery eyes, and slurred speech.! Her admissions to consuming alcoholic beverages.

HS 178 R2/06 3

! Stumbling over curb after exiting the vehicle.! Odor of alcoholic beverage emitting from her breath.! My observed signs of impairment as she performed the field sobriety tests.

I arrested Greenfield for driving under the influence of an alcoholic beverage at 9:20 p.m.Greenfield was given the proper chemical testing advisement. She chose a breath test andwas transported to the breath testing facility. She provided two breath samples of 0.10 and0.10 at 9:50 p.m. and 9:52 p.m. She was then booked along with her property.

Recommendations:

I recommend a copy of this report be forwarded to the district attorney’s office for reviewand prosecution of Greenfield for driving under the influence and driving with a bloodalcohol concentration at or above the legal state limit.

Vehicle Disposition:

Greenfield’s vehicle was stored by Reliable Towing.

HS 178 R2/06

One Hour and Thirty Minutes

SESSION XIII

REPORT WRITING EXERCISE AND MOOT COURT

HS 178 R2/06

SESSION XIII REPORT WRITING EXERCISE AND MOOT COURT

Upon successfully completing this session, the participant will be able to: o Discuss the required information on a narrative arrest report. o Successfully complete a narrative arrest report. o Discuss the need for competent courtroom testimony. o Demonstrate the proper techniques of courtroom testimony. CONTENT SEGMENTS LEARNING ACTIVITIES A. Procedures o Instructor-Led Presentation B. Report Writing Exercise o Video Presentation C. Courtroom Testimony Exercise o Writing Skills Exercise

o Participant’s Courtroom Testimony Exercise

o Instructor-Led Discussion

Display XIII-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIII-1

90 Minutes

XIII REPORT WRITING EXER-CISE AND MOOT COURT

10 Minutes

A. Procedures

Display XIII-1

1. Report writing exercise consistsof two sections.

a. The first section employs a

video segment to simulatethe first two phases of DWIDetection.

Selectively reveal only the firstmajor element of the slide.

o Class will view the videosegment.

o Video segment beginswith initial observationof a vehicle in operation,proceeds through thestop command and theobservation of the stop,continues through theface-to-face interviewwith the driver, andends with the observa-tion of the driver's exitfrom the vehicle.

Point out that the videosegment used for the reportwriting exercise is somewhatlonger than the video segmentsviewed in previous modulesbecause this segment alsoincludes the exit decision andobservation of the exit.

b. Following the videosegment, participants willhave 10 minutes to makenotes and complete anarrative arrest reportbased on what was seen andheard in the video segment.

Emphasize that thestandardized note takingguide/narrative arrest reportform is to be used to record allevidence depicted in the video.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIII-2

o The report will includeall the evidenceportrayed in the videosegment.

Instruct the participants thatin this exercise the suspectrefused to take thestandardized field sobrietytests or a chemical test. Theyare to end their narrativereport at the completion of thedriver’s exit.

o Report will be collectedfollowing the courtroomtestimony exercise forgrading by instructors.

NOTE: This is optional.

2. The Moot Court Exercise. Reveal the second majorelement of Slide XIII-1.

a. This exercise involves amoot court situation inwhich participants arerequired to "testify" in aDWI trial based oninformation included in thenarrative arrest report theyhad prepared in the reportwriting exercise.

Point out that in this exercise,participants will be required toappear in a realistic courtsituation, take the stand, andtestify before a jury about theirobservations of the defendantat the time of the traffic stop.

o The classroom will bearranged in a typicalcourt room setting.

Re-emphasize the importanceof a complete arrest reportwhen testifying in court.

o Two participants will beselected by the instruc-tor as patrol partners ina DWI case. They willbe required to take thestand separately andtestify from the factslisted on their completednarrative arrest reports.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIII-3

o After both "officers"have testified, theremainder of the classwill be asked forcomments as to thetestimony given.

o The video segment willbe replayed in itsentirety to the class.

o Class members will

again be asked for theircomments.

o Instructor critique.

3. The report writing exercise willbegin in a few moments.

a. The video segment will be

shown.

b. Participants will compilenotes, using the standardnote taking guide.

c. Participants will preparetheir own narrative arrestreports.

Solicit participants' questionsconcerning the report writingexercise procedures.

4. Distribution of standardizednote taking guide/narrativearrest report forms.

Hand out sufficient copies ofthe standard note taking guideand narrative arrest reportforms.

40 Minutes

B. Report Writing Exercise

1. Impaired Driver video segment(Segment Four, Tape Two). (This is a combination of videosegment Number Four, PhaseOne, and video segments Oneand Two, Phase Two, TapeOne.)

Show the combination Im-paired Driver video segment. While this video segment isbeing shown participants mayfill out note taking guides.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIII-4

Reference back to Sessions Vand VI for appropriate clues.

2. Completion of narrative arrestreports.

Allow 10 minutes for theparticipants to complete theirreports individually.

Display XIII-2

3. Instruct participants that inthis case the suspect refused thechemical test and to end theirreport at the completion of thedriver’s exit from vehicle.

Point out that the samplereport used in Session XII maybe used as a guide in thisexercise.

4. When reports have beencompleted participants will takea break. When they return,they will be prepared to takethe stand and testify in "TheImpatient Driver” DWI case.

During the break following thissegment, arrange the classroomin the moot court setting.

40 Minutes

C. Moot Court Exercise

1. The purpose of this exercise isto have the participants demon-strate their ability to testify in alogical sequence to the evidencethey collected during the twophases of DWI Detection with"The Impatient Driver”.

Choose the two participantswho will testify as "arrestingofficers".

2. A student judge will beappointed to preside over thecase and two participants willbe selected as arresting officersand sequestered until they arecalled to testify. The remain-der of the participants will serveas members of the jury. Twoinstructors will serve asprosecutor and defense counsel.

When the two participants arechosen as "arresting officers"have them move to anotherroom where they cannot hearor see what is happening in thecourt room.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIII-5

3. The judge will call the court toorder, the case will beannounced and the prosecutorand defense counsel will givetheir opening statements.

One instructor shall giveinstructions to the jury. Havejudge and jury move into theirappropriate positions.

4. The first officer will be called totestify.

5. The second officer will be called

to testify.

6. Prosecutor and defense counselwill give closing statements.

The officers should only testifyto what they actually observed. They may refer to their writtenreports if necessary. When one"arresting officer" testifies, theother will remain sequestered.

7. Judge will direct jury to rendera verdict.

8. Discussion

Have the jury render a verdictwith a show of hands.

Solicit participants commentsas to the testimony of the twoarresting officers.

9. (Optional) The Impaired Driver videosegments may be shown againif time permits.

ATTACHMENT(S)

DWI INVESTIGATION FIELD NOTESI. NAME_____________________________________________ SEX_____________________ RACE________

ADDRESS_________________________________________ CITY/STATE______________ OP.LIC.NO.____

D.O.B.__________/__________/__________ SOC. SEC. #_____________________________________________

VEHICLE MAKE________________________________ YEAR__________ LIC.__________ STATE_________

DISPOSITION______________________________________ NO. PASSENGERS_____________

INCIDENT LOCATION___________________________________________________________________________

DATE________/__________/__________ TIME______________ CRASH YES NO

II. VEHICLE IN MOTIONINITIAL OBSERVATIONS ________________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF STOP ________________________________________________________________________

_________________________________________________________________________________________________

III. PERSONAL CONTACTOBSERVATION OF DRIVER ______________________________________________________________________

_________________________________________________________________________________________________

STATEMENTS _________________________________________________________________________________

_________________________________________________________________________________________________

PRE-EXIT SOBRIETY TESTS _____________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF THE EXIT _____________________________________________________________________

_________________________________________________________________________________________________

ODORS _______________________________________________________________________________________

_________________________________________________________________________________________________

GENERAL OBSERVATIONSSPEECH ______________________________________________________________________________________

ATTITUDE ____________________________________________________________________________________

CLOTHING ___________________________________________________________________________________

PHYSICAL DEFECTS / DRUGS OR MEDICATIONS USED______________________________________________

IV. PRE-ARREST SCREENINGHORIZONTAL GAZE NYSTAGMUS

LEFT RIGHT

Equal Pupils 9 Yes 9 No k LACK OF SMOOTH PURSUIT

Equal Tracking 9 Yes 9 No k DISTINCT AND SUSTAINED NYSTAGMUS AT MAXIMUM DEVIATION

Vertical Nystagmus 9 Yes 9 No k ONSET OF NYSTAGMUS PRIOR TO 45 DEGREES

Other (i.e., Resting Nystagmus)_____________________________________________________

PBT (1) (optional) Time:__________ Results:__________ PBT (2) (optional) Time:__________ Results:__________

Type of Footwear

WALK AND TURNINSTRUCTIONS STAGE

CANNOT KEEP BALANCE

STARTS TOO SOON

WALKING STAGE

FIRST NINE STEPS SECOND NINE STEPS

STOPS WALKING

MISSES HEEL -TO- TOE

STEPS OFF LINE

RAISES ARMS

ACTUAL STEPS TAKEN

IMPROPER TURN (Describe) _________________________________________________________________________

CANNOT DO TEST (EXPLAIN) ________________________________________________________________________

_________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

ONE LEG STAND

L R

Sways while balancing.

Uses arms to balance.

Hopping.

Puts foot down.

CANNOT DO TEST (EXPLAIN) ___________________________________________________________________________

_____________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

OTHER FIELD SOBRIETY TESTSNAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

HS 178 R2/06

Two Hours

SESSION XIV

"TESTING SUBJECTS" PRACTICE: SECOND SESSION

HS 178 R2/06

SESSION XIV

"TESTING SUBJECTS" PRACTICE: SECOND SESSION

Upon successfully completing this session, the participant will be able to:

o Properly administer the SFST's.

o Properly observe and record subject's performance utilizing the standard notetaking guide.

o Properly interpret the subject's performance.

CONTENT SEGMENTS LEARNING ACTIVITIES

A. Procedures o Instructor-Led Presentation

B. Hands-on Practice o Participant Practice Session

C. Session Wrap-Up o Instructor-Led Discussion

Display XIV-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIV-1

2 Hours

XIV "TESTING SUBJECTS"PRACTICE: SECONDSESSION

NOTE: Guidelines forAchieving BACs - See SectionE, “Guidelines for ControlledDrinking Practice Session “ inAdministrator’s Guide pages12-14.

5 Minutes

A. Procedures

1. Participants work in the sameteams that were constituted forthe Dry Run Practice Session.

Make sure that all participantsunderstand the practiceprocedures.

2. Each team will test at least asmany drinking volunteers asthe team has members.

Example: If a team has fourmembers, that team will ad-minister a complete set of teststo at least four volunteers.

3. Each team member will admini-ster one complete series of teststo at least one drinkingvolunteer.

4. If time permits, teams will testadditional volunteers.

5. While one student is admini-stering tests to a volunteer, theother team members willobserve and record thevolunteer's performance.

Emphasize that each teammember is to prepare adescriptive, written test recordon each volunteer tested (usingthe standard note-takingguide).

6. As soon as the team has com-pleted the SFSTs on a particu-lar volunteer, the volunteermust be escorted by a monitorto the next scheduled team.

Define the sequence in whichvolunteers will circulate amongteams.

7. Upon termination of practice,monitors will escort thevolunteer subject to the BreathTesting Station.

Emphasize that teams will notbe informed of the volunteers'BACs until the session"Wrap-Up".

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIV-2

90 Minutes

B. Hands-on Practice Participants carry out the"drinking subjects" practiceprocedures.

Instructors circulate amongteams to observe and coachparticipants' performance, asnecessary.

Upon completion of practice,teams escort volunteers to theBreath Testing Station.

Teams return to classroom tocomplete report writingassignment. An instructorrecords the BACs of thevolunteer.

25 Minutes

C. Session Wrap-Up

1. Officers report their observa-tions of volunteers. Remindparticipants to continue usingtheir SFST Field Arrest Log.

Solicit officer's SFST results oneach volunteer. Record resultson dry-erase board (See sampledry-erase board array on nextpage).

2. Instructors notify participantsof volunteers' BACs.

Instructor notifies participantsof volunteers' BACs, asobtained during the breathtests.

Write BACs next to volunteers'names or code letters on thedry-erase board.

Solicit participants' comments,questions or observationsconcerning the relationshipbetween volunteers' BACs andtheir performances on the tests.

HS 178 R2/06 XIV-3

SAMPLE DRY-ERASE BOARD ARRAY FOR

TABULATING RESULTS

"Designated Horizontal Gaze Walk And One-Leg Arrest Suspects" Nystagmus Turn Stand ?

"A" "B"

"C" "D"

"E"

"F"

"G"

"H"

"I" "J"

ATTACHMENT(S)

DWI INVESTIGATION FIELD NOTESI. NAME_____________________________________________ SEX_____________________ RACE________

ADDRESS_________________________________________ CITY/STATE______________ OP.LIC.NO.____

D.O.B.__________/__________/__________ SOC. SEC. #_____________________________________________

VEHICLE MAKE________________________________ YEAR__________ LIC.__________ STATE_________

DISPOSITION______________________________________ NO. PASSENGERS_____________

INCIDENT LOCATION___________________________________________________________________________

DATE________/__________/__________ TIME______________ CRASH YES NO

II. VEHICLE IN MOTIONINITIAL OBSERVATIONS ________________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF STOP ________________________________________________________________________

_________________________________________________________________________________________________

III. PERSONAL CONTACTOBSERVATION OF DRIVER ______________________________________________________________________

_________________________________________________________________________________________________

STATEMENTS _________________________________________________________________________________

_________________________________________________________________________________________________

PRE-EXIT SOBRIETY TESTS _____________________________________________________________________

_________________________________________________________________________________________________

OBSERVATION OF THE EXIT _____________________________________________________________________

_________________________________________________________________________________________________

ODORS _______________________________________________________________________________________

_________________________________________________________________________________________________

GENERAL OBSERVATIONSSPEECH ______________________________________________________________________________________

ATTITUDE ____________________________________________________________________________________

CLOTHING ___________________________________________________________________________________

PHYSICAL DEFECTS / DRUGS OR MEDICATIONS USED______________________________________________

IV. PRE-ARREST SCREENINGHORIZONTAL GAZE NYSTAGMUS

LEFT RIGHT

Equal Pupils 9 Yes 9 No k LACK OF SMOOTH PURSUIT

Equal Tracking 9 Yes 9 No k DISTINCT AND SUSTAINED NYSTAGMUS AT MAXIMUM DEVIATION

Vertical Nystagmus 9 Yes 9 No k ONSET OF NYSTAGMUS PRIOR TO 45 DEGREES

Other (i.e., Resting Nystagmus)_____________________________________________________

PBT (1) (optional) Time:__________ Results:__________ PBT (2) (optional) Time:__________ Results:__________

Type of Footwear

WALK AND TURNINSTRUCTIONS STAGE

CANNOT KEEP BALANCE

STARTS TOO SOON

WALKING STAGE

FIRST NINE STEPS SECOND NINE STEPS

STOPS WALKING

MISSES HEEL -TO- TOE

STEPS OFF LINE

RAISES ARMS

ACTUAL STEPS TAKEN

IMPROPER TURN (Describe) _________________________________________________________________________

CANNOT DO TEST (EXPLAIN) ________________________________________________________________________

_________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

ONE LEG STAND

L R

Sways while balancing.

Uses arms to balance.

Hopping.

Puts foot down.

CANNOT DO TEST (EXPLAIN) ___________________________________________________________________________

_____________________________________________________________________________________________________

OTHER: __________________________________________________________________________________________

_________________________________________________________________________________________________

OTHER FIELD SOBRIETY TESTSNAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

NAME OF TEST ____________________________________________________________________________________

DESCRIBE PERFORMANCE__________________________________________________________________________

_________________________________________________________________________________________________

HS 178 R2/06

Two Hours

SESSION XIV-A

"TESTING SUBJECTS" PRACTICE: SECOND SESSION (OPTION TWO ONLY)

HS 178 R2/06

SESSION XIV-A

"TESTING SUBJECTS" PRACTICE: SECOND SESSION(OPTION TWO ONLY)

Upon successfully completing this session, the participant will be able to:

o Properly administer the SFST's.

o Properly observe and record subject's performance utilizing the standardnotetaking guide.

o Properly interpret the subject's performance.

CONTENT SEGMENTS LEARNING ACTIVITIES

A. Procedures o Instructor-Led Presentation

B. Practical Exercise (OPTION TWO ONLY) o Video Presentations

C. Session Wrap-Up o Instructor-Led Discussion

Display XIV-A-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIV-A-1

2 Hours

XIV-A "TESTING SUBJECTS"PRACTICE: SECONDSESSION (OPTION TWOONLY)

5 Minutes

A. Procedures

1. Participants work in the sameteams that were assigned forthe Dry Run Practice Session.

Make sure that all participantsunderstand the practiceprocedures.

2. Distribute video score sheets,have participants fill in theirname and team number.

NOTE: Have sufficient copies ofhandout XIV-A1 available. (Minimum of six copies perstudent.)

a. Advise participants thateach subject will be viewedperforming all three tests. Pauses are providedbetween each test to allowparticipants time to recordobserved clues.

NOTE: Point out thatparticipants will have only onechance to view each subject. Review can be conducted afterthe “wrap-up”.

b. Advise participants thatwhen viewing theadministration of HGN (inthe check for angle of onset)they will be provided twoviews. The first will showthe stimulus in relation tothe subject’s shoulder atonset. The second view willbe a close-up of the eyecaptured in that position.

Participants shall record thenumber of clues observed, inthe boxes located opposite eachtest.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIV-A-2

c. Advise participants that twoviews of the subjectperforming the walk andturn are also provided. Thefirst is an overall view ofboth stages. The second is aclose up of the subject’s feetwhile walking.

90 Minutes

B. Practical Exercise

1. Divide class into two groups. Each team member will administer a complete SFSTbattery on another studentunder the direct supervision ofan instructor.

2. It is recommended that half theclass perform the SFSTs underthe direction of instructor whilethe remainder of the classviews, records and interpretsthe NHTSA/IACP approvedvideos for this session. Oncecompleted, the groups switchroles.

3. If time permits, participantswill administer additional teststo each other.

EACH team member mustdetermine if the subject shouldor should not be arrested.

Emphasize that each officer isto prepare a descriptive,written test record on eachvideod subject, using thestandard notetaking guide.

Emphasize that teams will notbe informed of the volunteers'BACs until the session"Wrap-Up".

25 Minutes

C. Session Wrap-Up

1. Officers report theirobservations of videoed subjects. Remind participants it ismandatory they use the SFSTField Arrest Log.

Solicit officer's SFST results oneach videoed subject. Recordresults on dry-erase board (Seesample dry-erase board arrayon next page).

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XIV-A-3

2. Instructors notify participantsof videoed subjects' BACs.

Instructor notifies participantsof videoed subjects' BACs.

Write BACs next to videoedsubjects' names or code letterson the dry-erase board.

Solicit participants' comments,questions or observationsconcerning the relationshipbetween videoed subjects' BACsand their performances on thetests.

HS 178 R2/06 XIV-A-4

SAMPLE DRY-ERASE BOARD ARRAY FOR

TABULATING RESULTS

"Designated Horizontal Gaze Walk And One-Leg Arrest Suspects" Nystagmus Turn Stand ?

"A" "B"

"C" "D"

"E"

"F"

"G"

"H"

"I" "J"

HS 178 R2/06

One Hour and Fifty Minutes

SESSION XV

REVIEW AND PROFICIENCY EXAMINATIONS

HS 178 R2/06

SESSION XV REVIEW AND PROFICIENCY EXAMINATIONS

Upon successfully completing this session, the participant will be able to: o Demonstrate knowledge and proficiency in administering the Standardized

Field Sobriety Test battery. CONTENT SEGMENTS LEARNING ACTIVITIES A. Review of Horizontal

Gaze Nystagmus o Instructor-Led Presentation B. Review of Walk-and-Turn o Instructor- and Participant-Led

Demonstrations C. Review of One-Leg Stand D. Video Demonstration o Video Demonstration E. Proficiency Exam o Participant Proficiency Examination

Display XV-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-1

110 Minutes

XV REVIEW ANDEXAMINATIONS

15 Minutes

A. Review of Horizontal GazeNystagmus

Display XV-1

1. Involuntary jerking of the eyes,occurs as the eyes gaze to theside.

a. The subject is generallyunaware of the nystagmus.

b. Nystagmus is caused byalcohol and/or other drugsand some medicalconditions.

2. Review pupil size, restingnystagmus, and equal tracking.

Display XV-2

3. Three specific clues ofHorizontal Gaze Nystagmus.

a. Look for these clues in eacheye.

o Lack of smooth pursuit,

o Distinct and sustained

nystagmus at maximumdeviation,

o Onset of nystagmus

prior to 45 degrees.

Display XV-3

4. Clue No. 1: Lack of SmoothPursuit.

Select a student to serve as ademonstration subject.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-2

a. Position stimulusapproximately 12-15 inches(30-38 cm) in front ofsubject's nose, slightly aboveeye level.

Demonstrate initial positioningof object.

b. Start with the left eye. Demonstrate.

c. Move the stimulus smoothlyall the way to the right side(checking subject's left eye)then all the way to the leftside (across subject's nose)to the left side (checkingsubject's right eye).

d. Observe eyes for signs of

nystagmus as they moveside-to-side.

Make at least two completepasses.

Display XV-4

5. Clue No. 2: Distinct andSustained Nystagmus atMaximum Deviation.

a. Move the stimulus to theright until the subject's lefteye reaches maximumdeviation.

Select another student to serveas a demonstration subject.

Demonstrate

b. Verify that no white isshowing in the corner of theeye.

c. Hold the stimulus steady for

a minimum of four seconds,and watch for distinct andsustained nystagmus.

Remind participants that thenystagmus must be distinct. Very slight nystagmus atmaximum deviation is commonamong some unimpairedpeople.

d. Repeat for right eye. Remind participants to conducta second pass the same as thefirst.

Check each eye twice for eachclue.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-3

Display XV-5

6. Clue No. 3: Onset ofNystagmus prior to 45 Degrees.

Select another student to serveas a demonstration subject.

a. Position stimulusapproximately 12-15 inches(30-38 cm) in front ofsubject's nose, slightly aboveeye level.

Demonstrate.

b. Begin to make a slow passin front of the left eye.

Demonstrate.

c. When you see nystagmus,stop the stimulus.

Demonstrate.

d. Hold the stimulus steadyand verify that thenystagmus continues.

e. Verify that there is still

some white showing in thecorner of the eye.

Remind participants that inmost individuals there will besome white showing in thecorner of the eye at 45 degrees.

f. Check the alignment of theobject with the subject'sshoulder.

g. Repeat for right eye. Remind participants to conducta second pass the same as thefirst.

Check each eye twice for eachclue.

Display XV-6

7. Nystagmus AdministrativeProcedures.

a. Step I: Check forEyeglasses.

b. Step II: Verbal Instructions.

o Feet together, hands atsides

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-4

o Head still o Look at stimuluso Follow movement with

eyes

c. Step III: Positioning theStimulus.

d. Step IV: Pupil Size andResting Nystagmus.

e. Step V: Check for Tracking.

f. Step VI: Check for Lack ofSmooth Pursuit.

g. Step VII: Check for Distinctand Sustained Nystagmus.

h. Step VIII: Check for Onsetof Nystagmus Prior to 45Degrees.

i. Step IX: Total the clues.

j. Step X: Check for verticalnystagmus.

Remind participants thatvertical nystagmus was notincluded in SFST batteryduring the original research. However, it is a reliableindicator of impairment bycertain other drugs, as well ashigh doses of alcohol for thatindividual.

Display XV-7

8. Test Interpretation.

a. Maximum possible numberof clues is 6.

b. Test criterion is 4 or more.

c. Test is 77% accurate. Based on the original research.

9. Student-Led Demonstration. Choose a student to serve asthe test administrator. Choose another student toserve as a subject.

a. Test Administration.

o Verbal instructions.

Have student-administratorconduct a complete test of thestudent-subject's eyes.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-5

o Initial positioning ofstimulus.

o Check for each clue.

Instruct student-administratorto articulate each step in thetesting procedure.

o Estimate a 45 degreeangle.

At completion of test, havestudent-administrator estimatea 45 degree angle.

b. Critique Comment on, and solicit otherparticipants' comments on,student-administrator'sperformance.

10 Minutes

B. Review of Walk-and-Turn

Display XV-8

1. Two stage test.

a. Instructions stage. b. Walking stage.

2. Instructions Stage Positioning.

a. Place left foot on line.

Demonstrate positioning forthe instructions stage.

b. Place right foot ahead ofleft, heel of right footagainst toe of left foot.

c. Arms at the sides.

d. Hold position until told tostart.

Remind participants that it isimportant that suspectindicates understanding ofverbal direction not to moveuntil told to do so.

Display XV-9

3. Walk-and-Turn AdministrativeProcedures.

a. Initial verbal instructions(instructions stage).

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-6

b. Basic test requirements(nine steps, turn, ninesteps).

c. Specific turn procedures(front foot on line, series ofsmall steps with other foot).

d. Final verbal instructions.

Display XV-10

4. Test Interpretation.

a. Eight specific clues ofimpairment.

Display XV-11

b. Test criterion is 2 or more. Choose a student to serve asthe test administrator.

Choose another student toserve as the test subject.

c. Test is 68% accurate. Based on the original research.

5. Student-Led Demonstration.

a. Test Administration.

o Instructions positioning. o Verbal instructions. o Turn demonstration.

Have student administratorinitiate the test of the subject. Terminate the test after thesubject has taken two or threesteps.

b. Critique. Comment on, and solicit otherparticipants' comments onstudent-administrator'sperformance.

10 Minutes

C. Review of One-Leg Stand

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-7

Display XV-12

1. Two stage test.

a. Instructions stage. b. Balance and Counting

stage.

Display XV-13A

2. Instructions stage positioning.

a. Feet together. b. Arms at the side. c. Hold position until told to

begin.

Demonstrate positioning forthe instructions stage.

3. Administrative Procedures.

a. Simple verbal instructions.

Demonstrate theadministrative procedures.

Display XV-13B

o Raise one leg, either leg.

o With the footapproximately six inches(15 cm) off the ground,keeping your raised footparallel to the ground.

o Keep both legs straight.

o Look at elevated foot.

o Count out loud in thefollowing manner: “onethousand and one, onethousand and two, onethousand and three andso on,” until told to stop.

Demonstrate count: onethousand and one; onethousand and two; onethousand and three, etc.

b. Simple physicaldemonstrations.

o Demonstrate one-legstand.

o Demonstrate counting.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-8

Display XV-14

4. Test Interpretation.

a. Four specific clues ofimpairment.

Display XV-15

b. Test criterion is 2 or more.

c. Test is 65% accurate. Based on the original research.

5. Student-Led Demonstration. Choose a student to serve asthe test administrator.

Choose another to serve as thetest subject.

a. Test Administration.

o Instructions positioning

o Verbal instructions

o Physical demonstrations

Have student-administratorinitiate the test of the subject. Terminate the test after thesubject has counted out threeor four seconds.

b. Critique. Comment on, and solicit otherparticipants' comments on,student-administrator'sperformance.

15 Minutes

D. Video Demonstrations (SecondShowing) IF TIME PERMITS

Show the NHTSA video called"Standardized Field SobrietyTesting, DWI Detection, PhaseThree, Segment One of TapeOne" (15 Minutes).

Solicit and answer participants'questions concerning testadministrative procedures.

50 Minutes

E. Proficiency Examination.

1. Procedures. Make sure all participantsunderstand the proficiencyexamination procedures.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-9

a. Each student must demon-strate the ability toadminister properly thethree standardized fieldsobriety tests.

b. Horizontal GazeNystagmus.

o Demonstrate ability togive proper verbalinstructions.

o Demonstrate ability tocarry out the mechanicsof testing for each clue.

Inform participants that eachmust satisfactorily administerthe horizontal gaze nystagmustest to one of the fellowparticipants.

o Demonstrate ability toestimate a 45 degreeangle.

c. Walk-and-Turn.

o Demonstrate ability togive proper verbalinstructions.

o Demonstrate ability tocarry out appropriatephysical demonstrationsto support the verbalinstructions.

Inform the participants thateach must satisfactorilyadminister the Walk-and-Turntest to one of the fellowparticipants.

d. One-Leg Stand.

o Demonstrate ability togive proper verbalinstructions.

Inform the participants thateach must satisfactorilyadminister the one-leg standtest to a fellow student.

o Demonstrate ability tocarry out appropriatephysical demonstrationsto support the verbalinstructions.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-10

2. Group Assignments. Divide the class among theinstructors.

3. Conduct Examinations. Within each group, participantsconduct their tests one at atime. While one student isconducting the tests, anotherstudent assists by serving asthe test subject. Otherparticipants in the groupobserve the student-administrator's performance.

a. Each student conducts acomplete test of Horizontaland Vertical GazeNystagmus.

Instructor critiques/commentson student-administrator'sperformance in conductingHorizontal Gaze Nystagmustest. (Use the performancechecklist from the studentmanual.)

b. Each student administersthe verbal instructions andphysical demonstrations ofthe Walk-and-Turn test.

Instructor terminates the testafter the student-subject hastaken two or three heel-toesteps. Instructor critiques/commentson student-administrator'sperformance in conductingWalk-and-Turn test.

c. Each student administersthe verbal instructions andphysical demonstrations ofthe One-Leg Stand test.

Instructor terminates the testafter the student-subject hascounted out three or fourseconds. Instructor critiques/commentson student-administrator'sperformance in conductingOne-Leg Stand test.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XV-11

4. Re-examinations (as necessary). Participants who have failed toexhibit adequate proficiency inadministering the tests willreceive additional practice, anda repeat examination. Thismay be conducted during thelunch hour, or after regularclass hours, as appropriate.

NOTE: "Adequate proficiency"for purposes of this sessionmeans the student successfullyadministers the entire 3-testbattery at least once withoutmissing any of the performancechecklist items that are markedwith an asterisk (*).

ATTACHMENT(S)

HS 178 R2/06 1

Attachment A

PARTICIPANT PROFICIENCY EXAMINATIONSTANDARDIZED FIELD SOBRIETY TEST BATTERY

Participant Name: Date:

I. HORIZONTAL GAZE NYSTAGMUS 1. Remove eyeglasses. * 2. Stimulus held in proper position (approximately 12"-15" from nose, just

above eye level).

3. Check pupil size and look for resting nystagmus. 4. Check equal tracking. * 5. Smooth movement from center of nose to maximum deviation in

approximately 2 seconds and then back across subject's face tomaximum deviation in right eye, then back to center. Check left eye,then right eye. (Repeat)

* 6. Eye held at maximum deviation for a minimum of 4 seconds (no white

showing). Check left eye, then right eye. (Repeat) * 7. Eye moved slowly (approximately 4 seconds) from center to 45 angle.

Check left eye, then right eye. (Repeat) 8. Check for Vertical Gaze Nystagmus. (Repeat) II. WALK-AND-TURN 1. Instructions given from a safe position. * 2. Tells subject to place feet on a line in heel-to-toe manner (left foot

behind right foot) with arms at sides and gives demonstration. * 3. Tells subject not to begin test until instructed to do so and asks if

subject understands. * 4. Tells subject to take nine heel-to-toe steps on the line and demonstrates. * 5. Explains and demonstrates turning procedure.

HS 178 R2/06 2

* 6. Tells subject to return on the line taking nine heel-to-toe steps. * 7. Tells subject to count steps out loud. * 8. Tells subject to look at feet while walking. * 9. Tells subject not to raise arms from sides. * 10. Tells subject not to stop once they begin. * 11. Asks subject if all instructions are understood.

III. ONE-LEG STAND 1. Instructions given from a safe position. 2. Tells subject to stand straight, place feet together, and hold arms at

sides. 3. Tells subject not to begin test until instructed to do so and asked if

subject understands. * 4. Tells subject to raise one leg, either leg, approximately 6" from the

ground, keeping your raised foot parallel to the ground, and givesdemonstration.

* 5. Tells subject to keep both legs straight and to look at elevated foot. * 6. Tells subject to count in the following manner: one thousand and one,

one thousand and two, one thousand and three, until told to stop, andgives demonstration.

7. Checks actual time subject holds leg up. (Time for 30 seconds.) Instructor:

HS 178 R2/06

Fifty Minutes

SESSION XVI

WRITTEN EXAMINATION AND PROGRAM CONCLUSION

HS 178 R2/06

SESSION XVI WRITTEN EXAMINATION AND PROGRAM CONCLUSION

Upon successfully completing this session, the participant will be able to: o Complete a written examination with a passing grade. o Provide comments and suggestions for improving the course. CONTENT SEGMENTS LEARNING ACTIVITIES A. Post Test o Written Participant Examination B. Critique o Written Participant Critique C. Review of Post Test o Instructor-Led Presentation D. Concluding Remarks E. Certificates and Dismissal

Display XVI-O (Session Objectives)

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XVI-1

50 Minutes

XVI PROGRAM CONCLUSION

20 Minutes

A. Post-Test

1. Purpose of Post-Test: tocompare with pretest, anddetermine extent of knowledgegained by participants.

NOTE: "closed book" test. Passing score is 80%.

2. Distribute Post-Tests.

3. Collect Completed Post-Tests.

Allow participantsapproximately 17 minutes tocomplete the post-test.

Instructors grade post-test andredistribute to participants forreview.

10 Minutes

B. Critique

1. Purpose of the Critique Form: to identify possible improve-ments that can and should bemade to this program.

2. Distribute Critique Forms.

3. Collect completed critiqueforms.

Allow participantsapproximately 8 minutes tocomplete the critique form.

10 Minutes

C. Review of Post-Test

1. If passing score is not achieved,student(s) will be allowed totake “make-up” exam.

Read aloud each question onthe Post-Test, and ask class tosupply correct answer.

Correct class response, asnecessary.

Explain correct answers briefly,as necessary.

Aids Lesson Plan Instructor Notes

HS 178 R2/06 XVI-2

5 Minutes

D. Concluding Remarks

Display XVI-1

1. Overall Goal. Briefly remind participants ofthe enormous importance ofDWI deterrence.

Display XVI-2

2. Job-Performance Objectives. Express the hope that theparticipants will strive alwaysto obtain and clearly convey allof the evidence that is presentin their DWI contacts.

5 Minutes

E. Certificates and Dismissal Hand out Certificates.

Thank the participants fortheir time and attention.

HS 178 R2/06 1

Handout XVI-2

Course Location Date

DWI DETECTION AND STANDARDIZED FIELD SOBRIETYTESTING TRAINING PROGRAM

PARTICIPANT’S CRITIQUE

A. Workshop Objectives

Please indicate whether you feel that you personally achieved the following courseobjectives.

NotYes No Sure

1. Enable you to understand enforcement's role in generalDWI deterrence.

2. Enable you to understand the detection phases.

3. Enable you to understand requirements for organizing andpresenting testimonial and documentary evidence in DWIcases.

4. Improve your ability to recognize and interpret evidenceof DWI violations.

5. Enable you to administer and interpret validated psychophysical tests to DWI suspects.

6. Improve your ability to describe DWI evidence clearlyand convincingly in written reports and verbal testimony.

HS 178 R2/06 2

B. Workshop Sessions and Quality of Instruction

Please rate how helpful each workshop session was for you personally. Also, please rate thequality of instruction (subject knowledge, instructional techniques and learning activities).

Use a scale from 1 to 5 where: 5=Excellent, 4=Very Good, 3=Good, 2=Fair, 1=Poor.

Session/Activity Quality

Detection and General Deterrence

The Legal Environment

Overview of Detection, Note Taking & Testimony

Phase One: Vehicle in Motion

Phase Two: Personal Contact

Phase Three: Pre-Arrest Screening

Concepts and Principles of Standardized Field Sobriety Tests

Test Battery Demonstrations

"Dry Run" Practice

"Drinking Subjects" Practice

Processing the Arrested Suspect & Preparation for Trial

Report Writing Exercise and Moot Court

C. Course Design

Please circle the appropriate word to indicate your agreement or disagreement with each ofthe following statements.

1. The program contains some information that is not needed and that should bedeleted.

Agree Disagree Not Sure

HS 178 R2/06 3

2. There are some important topics missing from the program that should be added.

Agree Disagree Not Sure

3. The program is too short.

Agree Disagree Not Sure

4. I feel this program has improved my own ability to enforce DWI laws.

Agree Disagree Not Sure

5. The instructors did a good job.

Agree Disagree Not Sure

6. I am very glad I attended the program.

Agree Disagree Not Sure

7. The program is too long.

Agree Disagree Not Sure

8. The instructors should have been better prepared.

Agree Disagree Not Sure

9. I feel fully qualified to use the nystagmus test now.

Agree Disagree Not Sure

10. I feel fully qualified to use the two divided attention tests now.

Agree Disagree Not Sure

11. Too much time was spent practicing with drinking volunteers.

Agree Disagree Not Sure

12. These three new tests definitely will improve our ability to identify impaired drivers.

Agree Disagree Not Sure

HS 178 R2/06 4

13. I wish we had more practice with drinking volunteers.

Agree Disagree Not Sure

D. If you absolutely had to delete one session or topic from this course, what would itbe?

E. If you could add one new topic or session to this course, what would it be?

F. Overall Course Rating

Please rate the overall quality of the seminar on a scale from 1 to 5 where: 5=Excellent,4=Very Good, 3=Good, 2=Fair, 1=Poor.

Overall Course Rating:

G. Quality of Instruction

Please rate each instructor on a scale from 1 to 5 where: 5=Excellent, 4=Very Good,3=Good, 2=Fair, 1=Poor.

Instructor Rating

Instructor Rating

Instructor Rating

Instructor Rating

HS 178 R2/06 5

H. Please provide any final comments or suggestions that you feel are appropriate.

I. Please comment on the "Drugs That Impair Driving" portion of the class, ifpresented.