APPENDIX F

BIBLIOGRAPHY OF HORIZONTAL GAZE NYSTAGMUS
STUDIES AND ARTICLES

 

PUBLICATIONS FAVORABLE TO HGN

NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA) RESEARCH STUDIES

T.E. Anderson, Development of Effective Behavioral Test Procedures for Alcohol-Impaired Driver Identification, Research Notes, NHTSA, U.S. Department of Transportation (Nov. 1983).

Briefly summarizes the NHTSA research on field sobriety testing.

National Highway Traffic Safety Administration, U.S. Department of Transportation, DWI Detection and Field Sobriety Testing Student Manual (1995).

Manual is used to instruct law enforcement in the three phases of impaired driving detection: vehicle in motion, personal contact and pre-arrest screening. Pre-arrest screening includes instruction on the standardized field sobriety test battery.

National Highway Traffic Safety Administration, U.S. Department of Transportation, Pilot Test of Selected DWI Detection Procedures for Use at Sobriety Checkpoints, DOT-HS-806-724 (1985).

National Highway Traffic Safety Administration, U.S. Department of Transportation, Field Evaluation of a Behavioral Test Battery for DWI, No. DOT-HS-806-475 (Sept. 1983).

Study to confirm the effectiveness of the standardized filed sobriety test battery using a larger sample size. Concluded that the HGN test was the most effective of the three tests and that greater accuracy in determining whether a subjectís BAC is over .10 can be gained by combining the scores of the HGN and Walk-and-Turn test.

National Highway Traffic Safety Administration, U.S. Department of Transportation, Development and Field Test of Psychophysical Tests for DWI Arrest, No. DOT-HS-805-864 (March 1981).

Study to determine the effectiveness of the sobriety test battery and standardized the administration and scoring of each test. Test battery was subjected to laboratory and field evaluation. Concluded that more field testing needed to be performed, but the study showed that the test battery would be effective in increasing the ability of police officerís to detect impaired drivers.

National Highway Traffic Safety Administration, U.S. Department of Transportation, Psychophysical Tests for DWI Arrest, No. DOT-HS-802-424 (June 1977).

Study to determine the easiest and most effective methods of roadside testing in order to increase the ability of police to detect impaired drivers. Concluded that alcohol gaze nystagmus testing was most effective, along with walk-and-turn and one-leg stand tests.

OTHER RESEARCH STUDIES AND ARTICLES

Raymond D. Adams & Maurice Victor, Principles of Neurology, ch.13, "Disorders of Ocular Movement and Pupillary Function," (4th ed. 1991).

Lists the several varieties of pendular and jerk nystagmus, their manifestations and causative diseases.

Gunnar Aschan, Different Types of Alcohol Nystagmus, 140 Acta Oto-laryngol 69 (Sweden 1958).

Explores the causes and manifestations of positional alcohol nystagmus (PAN) and how it compares with alcohol gaze nystagmus.

Gunnar Aschan & M. Bergstedt, Positional Alcoholic Nystagmus in Man Following Repeated Alcohol Doses, 80 Acta Oto-laryngol 330 (Sweden 1975).

Gunnar Aschan et al., Positional Alcoholic Nystagmus in Man During and After Alcohol Intoxication, 17 Q.J. Stud. on Alcohol 381 (1956).

Lea Averbuch-Heller et al., Convergent-Divergent Pendular Nystagmus: Possible Role of the Vergence System, 45 Neurology 509 (Mar. 1995) (abstract only).

Seeks to examine the possible sources of convergent-divergent oscillation in subjects exhibiting acquired pendular nystagmus.

R.W. Baloh et al., Effect of Alcohol and Marijuana on Eye Movements, 50 Aviat. Space Environ. Med. 18 (Jan 1979).

G.R. Barnes, The Effects of Ethyl Alcohol on Visual Pursuit and Suppression of the Vestibulo-Ocular Reflex, 406 Acta Oto-laryngol 161 (1984).

Jason Barton, Blink- and Saccade-Induced Seesaw Nystagmus, 45 Neurology 831 (April 1995).

Examining the possible causes of seesaw nystagmus manifesting itself after subject blinks.

Humphrey Belton, Lateral Nystagmus: A Specific Diagnostic Sign of Ethyl Alcohol Intoxication, 100 N.Z. Med. J. 534 (Aug. 1987).

Advocating the use of lateral nystagmus test to detect alcohol impairment in drivers because "lateral nystagmus is the most reliable diagnostic sign in the assessment of alcohol impairment." Article also advocates demonstrations on television "so that lay people may detect intoxication in potential drivers and discourage and prevent impaired motorists from driving."

M.B. Bender & F.H. OíBrien, The Influence of Barbiturate on Various Forms of Nystagmus, 29 Am. J. Ophthalmology 1541 (1946).

Investigates the various effects barbiturates have on eye movement and the creation or suppression of various types of nystagmus by barbiturates.

L.H. Blomberg & A. Wassen, The Effect of Small Doses of Alcohol on the "Optokinetic Fusion Limit", 54 Acta Physiol. Scand. 193 (1962).

Blood Alcohol Concentration and Driving, Position Statement by the American College of Emergency Room Physicians, 17 Annals of Emergency Med. 11 (1988).

Marcelline Burns, Field Sobriety Tests for the Marine Environment Final Report, The Indian Creek Public Safety Department, FL (1996).

Marcelline Burns, The Controversy and the Issues: Horizontal Gaze Nystagmus, 3 The DRE 7 (May/June 1991).

A response to defense articles challenging the validity of the HGN test.

Marcelline Burns, DUI Enforcement Problems at Roadside, 7 Alcohol, Drugs and Driving 215 (1991).

Identifying the various obstacles police officers face in detecting impaired drivers. Advocates the use of HGN to detect drivers that have high alcohol tolerance levels and do not display the typical balance and coordination problems usually association with impairment.

Marcelline Burns, Why Police Check a Driverís Eyes, 15 U.S. J. Drug and Alcohol Dependence 7 (1991).

Marcelline Burns, Recognition of the Drug-impaired Driver by Examination of Behavioral and Physiological Signs, Proceedings, 34th Annual Meeting Human Factors Society, Orlando, FL 1015 (1990).

Describes the drug recognition evaluation procedure (of which HGN is a part), concluding that the procedure is highly effective in identifying drug impairment.

Marcelline Burns, The Use of Horizontal Gaze Nystagmus as a Field Sobriety Test, Proceedings, 35th International Congress on Alcoholism and Drug Dependence, Oslo, Norway (1988).

Describes HGN and its use by law enforcement in impaired driving investigations. Also briefly examines the legal challenges to HGN and why some courts refuse to admit testimony about HGN test results.

Marcelline Burns, Field Sobriety Tests: An Important Component of DUI Enforcement, 1 Alcohol, Drugs and Driving: Abstracts and Reviews 21 (1985).

Marcelline Burns & Eugene Adler, Study of a Drug Recognition Expert (DRE) Program, 1 Alcohol, Drugs and Traffic Safety 437 (C.N. Kloeden and A.J. McLean eds. 1995).

Study to evaluate the effectiveness of the drug recognition evaluation process, of which HGN is a part. Study concludes that the drug recognition evaluation program is a valid means of drug recognition and detecting drug impairment.

Marcelline Burns & Eugene Adler, Drug Recognition Expert (DRE) Validation Study, Final Report, E0072023, Governorís Office of Highway Safety, State of Arizona (1994).

Marcelline Burns & H. Moskowitz, Alcohol Impairment Tests for DWI Arrests, Transportation Research Record, National Research Council (1979).

Harvey Cohen, Prosecution of the Impaired Driver 8A-1 (1989).

Addresses the legal aspects of field sobriety tests, and HGN in particular, and their admissibility in court. Summarizes common criticisms of the HGN testís ability to accurately detect impairment.

W.E. Collins, Effects of Mental Set Upon Vestibular Nystagmus, 63 J. Exp. Psychology 191 (1962).

Colorado Department of Transportation, A Colorado Validation Study of the Standardized Field Sobriety Test (SFST) Test Battery (Nov. 1995).

Study conducted by Marcelline M. Burns and Ellen W. Anderson to evaluate the effectiveness of the standardized field sobriety test battery, taking into account variables such as age, sex and weather conditions during testing. The study concluded that the standardized field sobriety test battery, despite these variables, is highly effective.

Federal Aviation Administration, Department of Transportation, Alcohol and Disorientation Related Responses I. Nystagmus and "Vertigo" During Caloric and Optokinetic Stimulation, FAA-AM-71-6 (Feb. 1971).

Florida Department of Transportation, State Safety Office, A Florida Validation Study of the Standardized Field Sobriety Test (S.F.S.T.) Battery, A1-97-05-14-01 (1997).

Study conducted by Marcelline M. Burns and Teresa Dioquino to evaluate the effectiveness of the standardized field sobriety test battery, taking into account variables such as age, sex and weather conditions during testing. The study found officers using the SFSTs were 95% accurate in arrest decisions.

C.J. Forkiotis, Optometric Exercise: The Scientific Basis for Alcohol Gaze Nystagmus, 59 Curriculum II, No. 7 (April 1987).

Discussion of nystagmus and its use in the standardized filed sobriety test battery and court. Gives a scientific basis for the relationship between alcohol and nystagmus. Written for ophthalmologists preparing to testify about the HGN test.

A.R. Fregly et al., Relationships Between Blood Alcohol, Positional Alcohol Nystagmus and Postural Equilibrium, 28 Q.J. Stud. on Alcohol 11 (March 1967).

George Goding & Robert Dobie, Gaze Nystagmus and Blood Alcohol, 96 Laryngoscope 713 (July 1986).

Testing the accuracy of the angle of nystagmus onset in predicting the BAC of the subject. The study found that the correlation between the two is very high.

L. Goldberg, Effects and After-Effects of Alcohol, Tranquilizers and Fatigue on Ocular Phenomena, Alcohol and Road Traffic 123 (1963).

Explores the different manifestations of positional alcohol nystagmus and compares them with gaze nystagmus. Also examines the effects of different variables, such as different alcoholic beverages and fatigue, on positional alcohol nystagmus.

Gregory W. Good & Arol R. Augsburger, Use of Horizontal Gaze Nystagmus as a Part of Roadside Sobriety Testing, 63 Amer. J. Optometry & Physiological Optics 467 (1986).

Studying the training procedures of the Ohio Highway Patrol regarding the standardized field sobriety test battery and examining the accuracy of the HGN test in indicating whether a subject BAC is over .10.

Eric Halperin & Robert L. Yolton, Is the Driver Drunk? Oculomotor Sobriety Testing, 57 J. Am. Optometric Assín 654 (Sept 1986).

Informational article about the DUI laws, the SFST battery and HGN in particular. Cautions that HGN may be evident in a small number of subjects without the influence of alcohol and suggests that this fact should be noted in the subjectís optometric records.

P. Helzer, Detecting DUIs Through the Use of Nystagmus, Law and Order 93 (Oct. 1984).

V. Honrubia et al., Experimental Studies on Optokinetic Nystagmus, 65 Acta Oto-laryngologica 441 (1968).

Te-Long Hwang et al., Reversible Downbeat Nystagmus and Ataxia in Felbamate Intoxication, 45 Neurology 846 (April 1995).

Reporting a case of a man exhibiting downbeat nystagmus (nystagmus only seen in the primary eye position; usually suggests a dysfunction in the brain) and concluding that the nystagmus was due to felbamate toxicity (a poisonous amount of an anti-epileptic drug).

A.W. Jones & A. Neri, Age-Related Differences in the Effects of Ethanol on Performance and Behaviour in Healthy Men, 29 Alcohol & Alcoholism 171 (1994).

This study measured the possible differences of alcohol impairment between men of different ages by using a series of coordination and clinical tests, of which positional alcohol nystagmus was one. The study found that there is no significant difference of alcohol impairment between men aged 20-59.

Peter W. Kaplan & Ronald Tusa, Neurophysiologic and Clinical Correlations of Epileptic Nystagmus, 43 Neurology 2508 (Dec. 1993).

Explores the causes and manifestations of epileptic nystagmus.

H. Lehti, The Effect of Blood Alcohol Concentration on the Onset of Gaze Nystagmus, 13 Blutalkohol 411 (1976).

Examining methods of measuring gaze nystagmus in order to determine the simplest effective method.

R. John Leigh & David Zee, The Neurology of Eye Movements 191-201 (1983).

Discussion of different types of oculomotor disorders that effect eye movement. Contains a chart listing different types of nystagmus, their manifestations and possible causes.

J. Levett & L. Karras, Effects of Alcohol on Human Accommodation, Aviat. Space, Environment Med., 434-437 (1977).

D. Levy et al., Smooth Pursuit Eye Movements: Effects of Alcohol and Chloral Hydrate, 16 Psychiatric Res. 1 (1981).

Craig Liden et al., Phencyclidine: Nine Cases of Poisoning, 234 J. Amer. Med. Assín 513 (Nov. 1975) (selected sections).

Examining the effects of phencyclidine on the body. States that horizontal, vertical and rotational nystagmus are all indicators of phencyclidine in the body.

V. Manak, Voluntary Saccadic Eye Movements in a Forced Visual Task, 19 Activ. Nerv. Sup. 193 (1977).

Replicating the effects of passing headlights on the eyes of a driver, finding that there is a lengthening of saccadic eye movement.

Donald Mattus, Boating Under the Influence, 7 The DRE 2 (Summer 1995).

Advocating the use of the HGN test to determine the BACs of boaters.

J.W. Metz & R.F. Balliet, Visual Threshold: Human Scotopic Luminosity Functions Determined with Optokinetic Nystagmus, 13 Vision Res. 1001 (1973).

Y. Mizoi et al., Diagnosis of Alcohol Intoxication by the Optokinetic Test, 30 Q.J. Stud. on Alcohol 1 (Mar.-June 1969).

K.E. Money & W.S. Myles, Heavy Water Nystagmus and Effects of Alcohol, 247 Nature 404 (Feb. 1974).

Researching various elements and causes of positional alcohol nystagmus.

H.B. Murphree et al., Effect of Congeners in Alcohol Beverages on the Incidence of Nystagmus, 27 Q.J. Stud. on Alcohol 201 (June 1966). (Congeners are organic molecules found in varying amounts in alcoholic beverages.)

Nathan et al., Effects of Congeners Differences in Alcohol Beverages on the Behavior of Alcoholics, 5 Q.J. Stud. on Alcohol 87 (May 1970). (Congeners are organic molecules found in varying amounts in alcoholic beverages.)

Nuotto et al., Naloxone Ethanol Interaction in Experimental and Clinical Situations, 54 Acta Pharmacol. Toxicol. 278 (1984). (Naloxone is a narcotic antagonist that is used in the management and reversal of overdoses caused by narcotics.)

C.O. Nylen, Positional Nystagmus: A Review and Future Prospects, J. Laryngology and Otology 295 (June 1950).

W.J. Oosterveld, Effect of Gravity on Positional Alcohol Nystagmus (PAN), 41 Clinical Aviation and Aerospace Med. 557 (May 1970).

W.J. Oosterveld & W.D. Van Der Laarse, Effect of Gravity on Vestibular Nystagmus, 40 Aerospace Med. 383 (1969).

W.J. Oosterveld et al., Quantitative Effect of Linear Acceleration on Positional Alcohol Nystagmus, 45 Aerospace Med. 695 (July 1974).

D. Paige, Senescence of Human Visual-Vestibular Interactions: Smooth Pursuit, Optokinetic, and Vestibular Control of Eye Movements with Aging, 98 Exp. Brain Res. 355 (1994) (selected sections).

Examining the deterioration of smooth pursuit with advancing age.

Antti Penttila & Martti Tenhu, Clinical Examination as Medicolegal Proof of Alcohol Intoxication, 16 Med., Sci. and the Law 95 (April 1976).

Conducting a clinical examination of a variety of tests used to determine the degree of intoxication of the subject. Nystagmus is one of those tests.

Antti Penttila et al., Nystagmus and Disturbances in Psychomotor Functions Induced by Psychotropic Drug Therapy, Psychiat. Fenn. 315 (1974).

Antti Penttila et al., Examination of Alcohol Intoxication in Cases of Suspected Drunken Drivers II, Liikenneturva, Iso Roobertinkatu 20, 00120 Helsinki 12, Finland (1974).

Antti Penttila et al., Clinical Examination for Intoxication in Cases of Suspected Drunken Driving, Statistical and Research Bureau of TALJA, Iso Roobertinkatu 20, Helsinki 13, Finland (1971).

Police Praise Test for Drunkenness, N.Y. Times, Jan. 3, 1988.

Newspaper article reporting on the use of the HGN test by police officers.

C. Rashbass, The Relationship Between Saccadic and Smooth Tracking Eye Movements, 159 J. Physiol. 326 (1961) (selected sections).

Examining whether saccadic and smooth tracking eye movements are independent or part of the same system. Author uses barbiturates and its effects on the two eye movements in determining the relationship.

Jack E. Richman & John Jakobowski, The Competency and Accuracy of Police Academy Recruits in the Use of the Horizontal Gaze Nystagmus Test for Detecting Alcohol Impairment, 47 New Eng. J. Optometry 5 (Winter 1994).

Examining the ability of newly-trained police officers in the horizontal gaze nystagmus test to detect impaired drivers. The study found that the newly-trained officers were correct over eighty-seven percent of the time in detecting subjects under the influence of alcohol.

David A. Robinson, Eye Movement Control in Primates, 161 Science 1219 (Sept. 1968).

Examining the four oculomotor subsystems Ė smooth pursuit, saccadic, vestibular and vergence.

K. Savolainen et al., Effects of Xylene and Alcohol on Vestibular and Visual Functions in Man, Scan J. Work Environ. Health 94 (Sweden 1980).

D.J. Schroeder, Effects of Alcohol on Nystagmus and Tracking Performance During Laboratory Angular Accelerations About the Y and Z Axes, 44 Aerospace Med. 477 (1973).

Seelmeyer, Nystagmus, A Valid DUI Test, Law and Order 29 (July 1985).

James Sharpe et al., Familial Paralysis of Horizontal Gaze, 25 Neurology 1035 (Nov. 1975).

Studying the hereditary nature of scoliosis, facial paralysis and horizontal pendular nystagmus.

Jeffrey Slapp, The DUI Case Preparation Manual for the Florida Law Enforcement Officer, Institute of Police Technology and Management 14 (1996 ed.).

Overview for law enforcement of HGN and other types of nystagmus and eye disorders. Also covers the administration of the HGN test.

June Stapleton et al., Effects of Alcohol and Other Psychotropic Drugs on Eye Movements, 47 Q.J. Stud. on Alcohol 426 (1986).

Exploring various regions of the brain that alcohol may have an influence upon in order to effect eye movement. These eye movements may not only be indicative of alcohol and other drug impairment, but the effect that alcohol and other drugs have on these eye movements may impair the subjectís ability to see.

Martti Tenhu & Antti Penttila, The Value of Nystagmus Tests in the Practical Examination of Suspected Drunken Drivers, 8 Forensic Science 199 (1976).

Study showing significant correlation between the existence of nystagmus and the subjectís impairment.

Van Tharp et al., Limited Field Testing of a Standardized Sobriety Test Battery, Proceedings, Conference of the Am. Assín of Automotive Med. (1981).

Concluding that, based on a limited field test, the standardized field sobriety test battery is highly effective in detecting impaired drivers.

Van Tharp et al., Circadian Effects on Alcohol Gaze Nystagmus, Paper Presented at the 20th Annual Meeting of Society for Psychophysiological Research (abstract in 18 Psychophysiology (March 1981)).

H. Tianwu et al., Effects of Alcohol Ingestion on Vestibular Function in Postural Control, 519 Acta Oto-laryngol 127 (Sweden 1995).

Study concluding that alcohol affects not only the oculomotor system but the vestibular system as well.

David J. Tiffany, Optometric Expert Testimony: Foundation for the Horizontal Gaze Nystagmus Test, 57 J. Am. Optometric Assín 705 (1986).

Legal article written to assist optometrists and other experts preparing to testify about the HGN test in criminal prosecutions.

James Unsworth, The Eyes Have it: HGN Review and Update, 3 The DRE 4 (July/Aug. 1991).

Addressing possible cross-examination questions that law enforcement officers may face on the stand regarding their administration of the HGN test and appropriate responses. Also addresses several common defense arguments that both law enforcement and prosecutors should be aware of regarding the HGN test and possible responses to those arguments.

Dan Watson & Richard Studdard, Gaze Nystagmus and Psychophysical Testing, Proceedings, International Symposium, Driving Under the Influence of Alcohol and/or Drugs, Federal Bureau of Investigation, Quantico, VA (1986).

Overview of psychophysical testing written by law enforcement to detect drug and alcohol impairment, with some focus on gaze nystagmus.

Dale Whiting, State v. Witte, Questioning HGNís Frye General Acceptance Under Blake, 5 The DRE 7 (Spring 1993).

Legal article analyzing Kansas v. Witte and the studies used by the court to reach its decision. Article concludes that the Witte court was incorrect in holding that the relevant scientific community does not generally accept the HGN test and based its decision on legal, rather than scientific, articles.

I.M.S. Wilkinson et al., Alcohol and Human Eye Movement, 97 Brain 785 (1974).

Studying the effects of alcohol on eye movement and concluding that there is "no doubt that alcohol has a profound effect on eye movement."

D.S. Zee et al., The Mechanisms of Downbeat Nystagmus, 30 Arch Neurol. 227 (March 1974) (one-page chart).

Zyo, Medico-legal and Psychiatric Studies on the Alcohol Intoxicated Offender, 30 Japanese J. Legal Med. 169 (1976).

PUBLICATIONS CRITICAL OF HGN

Stephanie E. Busloff, Can Your Eyes be Against You? The Use of the Horizontal Gaze Nystagmus Test in the Courtroom, 84 The J. Crim. L. & Criminology 203 (1993).

Attorney-written article criticizing the use of HGN as a roadside sobriety test.

Spurgeon Cole & Ronald Nowaczyk, Field Sobriety Tests: Are They Designed for Failure?, 79 Perceptual and Motor Skills 99 (1994).

Studying the ability of law enforcement to detect a subjectís impairment by watching videotapes of several sobriety tests. The HGN test was not among the tests given on the videotapes.

Jonathan Cowan & Susannah Jaffee, Field Sobriety Tests: The Flimsy Scientific Underpinnings, 5 DWI J. 1 (Dec. 1990).

Excerpted from Cowan & Jaffee, infra.

Jonathan Cowan & Susannah Jaffee, Proof and Disproof of Alcohol-Induced Driving Impairment Through Evidence of Observable Intoxication and Coordination Testing, 9 Am.J.Proof of Facts 3d 459 (1990).

A critical look at the development of the standardized field sobriety test battery.

L.F. DellíOsso, Nystagmus, Saccadic Intrusions/Oscillations and Oscillopsia, in 2, Current Neuro-Ophthalmology (L. Simmons & J.T.W. van Dalen eds. 1990).

Richard Erwin, 1 Defense of Drunk Driving Cases, ßß 8A:06, 8A:08 (3d ed. 1992).

Charles R. Honts & Susan L. Amato-Henderson, Horizontal Gaze Nystagmus Test: The State of the Science in 1995, 71 N.D. L. Rev. 671 (1995).

D. Nichols, 2 Drinking/Driving Litigation, ß 26:01 (1991 & 1992 Supp.).

Attorney-written analysis of the use of alcohol gaze nystagmus as a test for evaluating suspected drinking drivers.

Jim Norris, The Correlation of Angle of Onset of Nystagmus with Blood Alcohol Level: Report of a Field Trial, California Assín Criminalistics Newsletter 21 (June 1985).

Studying the reliability of determining BAC based on the angle of onset of HGN prior to forty-five degrees.

William A. Pangman, Horizontal Gaze Nystagmus: The New Drunk Driving Alchemy, 11 The Champion 6 (April 1987).

Reprint from Pangman, infra.

William A. Pangman, Horizontal Gaze Nystagmus: Voodoo Science, 2 DWI J. 1 (March 1987).

Attorney-written analysis of the use of HGN evidence in the prosecution of impaired drivers.

Mark Rouleau, Unreliability of the Horizontal Gaze Nystagmus Test, 4 Am.J.Proof of Facts 3d 439 (1990).

Attorney-written critique of the use of HGN evidence in the prosecution of impaired drivers.

Yoshio Umeda & Eiji Sakata, Alcohol and the Oculomotor System, 87 Annals of Otology, Rhinology & Laryngology 392 (May-June 1978).

Determining that HGN is the last type of eye movement to manifest itself (compared with caloric eye tracking pattern, PAN and eye tracking abnormalities) after the ingestion of alcohol.