4-C SAFPF RE-ENTRY COURT (4-C)

4-C SAFPF RE-ENTRY COURT (4-C) Table of Contents Introduction.. 2 Mission Statement 2 4C Court Overview... 3 4C Goals and Objectives 5 SOP 01.01 Admission and Eligibility 6 SOP 01.02 Screening and Intake Planning Process... 7 SOP 01.03 Clinical and Risk Needs Assessment.. 9 SOP 02.01 CSCD Orientation. 11 SOP 02.02 Counseling Treatment Orientation 13 SOP 03.01 Supervision Case Plans and Updates. 14 SOP 03.02 Counseling Treatment Plans, Updates and Clinical Documentation... 16 SOP 04.01 Level of Counseling Service. 18 SOP 04.02 Counseling Treatment Delivery. 19 SOP 05.01 Clinical Supervision, Observation, Reviews and Training 20 SOP 05.02 Internal Audits and Control... 22 SOP 06.01 Court Staff Team Meeting.. 23 SOP 07.01 Continuum of Care and Discharges... 24 SOP 08.01 Required Postings and Counseling Licensures 26 SUPERVISION SOP ATTACHMENTS 27 ATTACHMENT I Incentives and Sanction Matrix for CSCD 28 ATTACHMENT II Rating System for Weekly Progress Reports 32 ATTACHMENT III Supervision Intake Documentation... 36 ATTACHMENT IV Interdisciplinary Team. 52 TREATMENT DOCUMENTATION ATTACHMENTS 59 ATTACHMENT V Treatment Documentation.. 60 Dallas County 4-C Re-Entry Court Standard Operating Procedures 1

4-C SAFPF RE-ENTRY COURT (4-C) INTRODUCTION The Substance Abuse Felony Punishment Facility Community Corrections Continuum of Care (4-C) Court provides an effective and efficient means to reduce the adverse impact of repeat drug offenders in the Dallas County Criminal Justice system. The purpose of the program is to provide offenders with drug and alcohol intervention through a continuum of care. The 4-C SAFPF RE-ENTRY COURT began accepting probationers in March 2009. The Project Director and Presiding Judge is the Honorable Robert W. Francis. The 4-C Judge and Supervisory team members maintain open lines of communication with the Texas Legislature to provide continual updates and progress reports. These communiqués ensure that the Legislature has the information necessary to continue long term planning for drug courts and their role to reduce prison spending and promoting public safety in Texas. MISSION STATEMENT The Mission of the Dallas County 4-C SAFPF Re-Entry Court is to maximize the potential for successful re-entry and reintegration while promoting public safety, by returning SAFPF participants to the community as responsible and productive citizens who are educated, employed and free from addiction. Dallas County 4-C Re-Entry Court Standard Operating Procedures 2

4-C COURT OVERVIEW The 4-C Reentry Drug Court is a specialty drug court as designated by the Texas Legislature. The Court provides Community Supervision and Counseling Services to all of the Probationers under its' jurisdiction. 4-C's role in the criminal justice system is prescribed by statute and different than a regular Criminal District Court, but 4-C is at all times, "a court". The Court has jurisdiction over probationers who have completed the inpatient portion of SAFPF unit. The probationers are referred to as participants when discussing community supervision and as clients when discussing counseling, but to the Court they remain probationers. The probationers are returned to the court upon completion of SAFPF and are delivered by the Dallas Sheriff directly to the 4-C staff. An orientation is given to them and they are given reporting instructions. At the next available court setting they meet the Judge and are exposed to the court proceedings they will encounter for the next year. An assistant district attorney and an assistant public defender are present to meet the probationers and provide legal assistance throughout their stay at 4-C. The 4-C Courts purpose is to assist the probationer s re-entry to the community after inpatient treatment, working to ensure their lifelong success in avoiding a return to incarceration. The Court uses two separate but complimentary programs to achieve this, community supervision and counseling. Community Supervision Officers work with the participants to make sure the conditions of probation are understood and followed. This not only aids the participant in their recovery, but it ensures public safety. The CSO's work under the direct supervision of the court and provide the court with information and recommendations through various means, often in court staffing. When sanctions or revocations are part of the docket, the CSO may be require testifying or giving input to the Judge, but all final decisions are made by the Judge. Dallas County 4-C Re-Entry Court Standard Operating Procedures 3

4-C COURT OVERVIEW Counselors work with the clients through either, intensive or supportive outpatient group and individual meetings. The counselors are required to comply with all state and federal regulations, but since the counseling is court ordered, the information obtained through counseling belongs to the court. Counselors also provide information and feedback to the court during court staffing or other hearings. Records are kept by both the CSO s and Counselors regarding the progress or regress of each probationer on a daily, weekly and monthly basis. Due to Dallas County s emphasis on paper reduction, all records are kept electronically in accordance with county policy. All of these records are reviewable in one or more of the Dallas County computer systems. Dallas County 4-C Re-Entry Court Standard Operating Procedures 4

4-C GOALS AND OBJECTIVES The Dallas SAFPF 4-C Re-Entry Court adheres to the 10 Key Components of Drug Courts as set out in Sec. 469.001 of the Texas Health & Safety. 4-C is designed to provide effective aftercare treatment for probationers who have completed the inpatient portion of treatment in a Substance Abuse Felony Punishment Facility. The Courts programming includes; judicial intervention, CSCD supervision, rehabilitative services, individualized treatment plans, and additional therapeutic support for ten to twelve months, to include: 1. ReEntry Drug Court, Judicial and (court) treatment team supervision and intervention 2. Continued delivery of case management services to coordinate service plan implementation; 3. Quality outpatient substance abuse counseling services, that include cognitive skills, life skills and relapse prevention information 4. A network of pro-social, drug-free peers and role models to include support groups and a network of successful program graduates 5. Family intervention and counseling 6. Integrated community resource support services monitored through a SAFPF Coordinator or Community Supervision Officer (CSO) 7. A network of support from those involved in the treatment process encouraging successful completion of treatment objectives; and Dallas County 4-C Re-Entry Court Standard Operating Procedures 5

8. Instilling the belief that successful completion provides a crime and drug-free lifestyle leading to productive citizenship. SOP #: 4CRC 01.01 Date: July 2011 Title: Admissions and Eligibility 4-C ADMISSIONS 4-C Target Population: The participants in 4-C are High Risk Criminogenic offenders with a substance dependence diagnosis who have been released from the inpatient portion of a SAFPF unit. ELIGIBILITY CRITERIA Consideration for admission to 4-C will be limited to those offenders who: 1. Have successfully completed treatment in a SAFPF Unit. 2. Have been identified by the SAFPF unit as appropriate candidates for 4-C.* *4-C is viewed as an incentive to encourage positive behavior while in the unit DISQUALIFICATION CRITERIA Offenders will be ineligible for participation in the program based on the following guidelines: 1. The offender does not complete SAFPF treatment on the unit. 2. The offender is assessed to be functioning at a cognitive level that would prohibit them from participating in all of the program components. Dallas County 4-C Re-Entry Court Standard Operating Procedures 6

SOP #: 4CRC 01.02 Date: July 2011 Title: Screening and Intake Planning Process 4-C SAFPF Re-Entry Court Screening and Intake Planning Process A. The CSCD Supervisor of 4-C receives a list of potential unit graduates and their discharge dates from TDCJ. Participants are randomly selected that list, taking into consideration input from the units transition coordinator B. The SAFPF unit is then advised of those that have been selected to enter the 4-C SAFPF Re-Entry Court. C. Once unit graduates are selected and the SAFPF Units notified, TDCJ and CJAD are informed as well. D. The 4-C questionnaires are filled out by the potential unit graduates and are mailed or faxed back to the 4-C CSCD Supervisor. The 4-C questionnaires contain the potential graduate s drug history, medical history and addresses. E. A copy of the 4-C client questionnaire is made available to the counseling staff to determine treatment placement in the 4-C counseling program. F. For admission consideration, clients must provide a home plan that includes address of proposed residence, names of the persons and relationship that will be living in the residence and any history of substance abuse. After the information is reviewed, the packets are given to the 4-C Field Work Officer who will go out and verify the address and meet with the family members of each 4-C candidate. G. Prior to the new participants arrival at 4-C, each Court Officer s caseload is reviewed for placement. Dallas County 4-C Re-Entry Court Standard Operating Procedures 7

SOP #: 4CRC 01.02 Date: July 2011 Title: Screening and Intake Planning Process H. Once the lists of new participants are selected from each unit, the Dallas Sheriff s Office is notified of the clients that need to be transported back to Dallas County. I. On the selected date the Dallas Sheriff s Deputies transport the clients back to Dallas County. J. When the client arrives to the 4-C Court, an orientation occurs and they are notified of living arrangements. K. Probationers are released to the custody of 4-C staff at the 4-C courtrooms. Counseling Supervisor: Prior to 4-C counseling intake/orientation the counseling supervisor reviews the risk/needs and clinical assessments which includes the following: a) Axis I & Axis II Mental Health and/or Substance Abuse/Dependence history and diagnosis. b) Criminogenic and responsivity indicators including motivation and readiness for change c) Formulation of the client s history and clinical presentation Counselor caseloads: Guidelines have been established to ensure effective, individualized treatment and rehabilitation based on CJAD and DHHS standards. Intensive outpatient counselors will maintain a caseload of 16-18 participants, while supportive outpatient will be no more than 32. In addition, all 4-C groups do not exceed 16 probationers. Dallas County 4-C Re-Entry Court Standard Operating Procedures 8

SOP #: 4CRC 01.03 Date: July 2011 Title: Clinical and Risk Needs Assessments Preliminary Clinical and Risk Needs Assessment* *The following two sections describe assessments and reports that occur prior to probationers being sent to in-patient treatment at a SAFPF unit. These assessments are usually conducted pursuant to a judge s order and are designed to assist the judge in the sentencing decision. The assessments are conducted while the probationer is in jail or on bond awaiting sentencing. The reports then serve as a source of information and background for the 4-C staff when new admits are being returned to the 4-C court. CSO s and counseling staff use the reports in making preliminary decisions in how each participant s needs will be addressed. Clinical Assessment Conducted Prior to Transfer to a SAFPF Unit: Dallas County CSCD s Comprehensive Assessment and Treatment Services (CATS) complete a full clinical assessment conducted by a masters or doctoral level clinician prior to a probationer being transferred to a SAFPF unit as a result of a court order. The clinical assessment provides information regarding the clients social history, mental health and/or substance abuse/dependence history and diagnoses, Axis II diagnoses or issues, a review of criminogenic needs, responsivity factors (including motivation and readiness for change), treatment needs, and recommended supervision strategies. (NOTE) If a client does not have a CATS clinical assessment available, the 4-C court team will request a CATS assessment to be completed within fourteen days of the client s admission to 4-C. The Clinical Assessment can be reviewed in the K drive Dallas County 4-C Re-Entry Court Standard Operating Procedures 9

Risk/Needs Assessment Conducted Prior to Transfer to a SAFPF Unit: Dallas County CSCD administers an empirically validated risk/needs assessment that classifies the offenders risk level and identifies the criminogenic factors that contribute to the offender s risk for recidivism prior to transfer to a SAFPF unit. SOP #: 4CRC 01.03 Date: July 2011 Title: Clinical and Risk Needs Assessments Additionally an updated risk/needs assessment is completed within 14 days of return from the SAFPF unit to the 4-C court. The Clinical Assessment and the Risk/Needs Assessment are reviewed by 4-C CSO s and counseling staff to help develop an initial supervision & treatment plan. The Risk/Needs Assessment or Re-Assessment can be reviewed in the (CCMS) Corrections Case Management System. SOP Dual Diagnosis treatment groups use the SSC curriculum and in addition a referral to one of the community outpatient mental health clinics is given. These clinics provide excellent supplemental support through dual disorder education and medical services. Dual diagnosis groups will not exceed 12 participants. Clients in Dual Diagnosis group will be required to be in compliance with treatment by psychiatric providers, including taking their medication. Dallas County 4-C Re-Entry Court Standard Operating Procedures 10

SOP #: 4CRC 02.01 Date: July 2011 Title: CSCD Orientation CSCD Orientation: Orientation is conducted by CSCD staff upon the participant s arrival at 4-C Court. It is done in an informal and relaxed setting designed to assure the participants that the 4-C staff is here to assist them in succeeding and not to revoke them. The participants receive an overview of the 4-C Participant Handbook which explains the expectations and responsibilities of the SAFPF Re-Entry program. All intake paper work is completed and signed by each participant. The Urine Analysis Testing Color-coded system is explained and each participant receives their assigned color, along with the phone number to the random UA Line. The participants are introduced to their Court Officer, given supervision reporting instructions, counseling intake appointment time and informed of their court dates, times and locations. Family members or transition housing vendors are notified that the client is ready for transportation. Clients on psychiatric medication or mood-altering medication are required to give the 4-C staff members a list of those medications, and to notify the staff of any change in their medication regimen. They are also required to sign a release of information allowing counselors to coordinate care with the medical or psychiatric providers. At the time of intake, clients receive a copy of the Drugs to Avoid list, and the 4-C Medical Exception Form. Each time a client seeks medical or mental health services, Dallas County 4-C Re-Entry Court Standard Operating Procedures 11

they are required to have the medical exception form signed by the prescribing physician, and return it to the staff. If clients are taking prescribed mood-altering medication such as Vicodin, Xanax, Oxycontin, Lortab, etc., they are informed of the CATS policy that they may not participate in treatment while using these medications. The client is informed that the use of these medications is counterproductive to treatment for substance abuse. Counselors are required to notify the medical provider (after receiving a signed release from the client) in writing of the client's involvement in a substance abuse treatment program; and cannot be eligible for services while taking medications with addictive SOP #: 4CRC 02.01 Date: July 2011 Title: CSCD Orientation properties. If the physician determines the medication is necessary, the client will be referred to another outpatient program in the community. The Intake/Orientation can be reviewed in the (CCMS) Corrections Case Management System. Probation Officer (CSO) Review: Within 14 days of admission to 4-C, the participants Community Supervision Officer (CSO) will assess the probationer s criminogenic risk/needs ratings and enter the information in case narratives. Within 14 days after the initial assessment, the CSO will reassess the probationers progress to determine if any change in the supervision plan need to be made. This information is also available to determine supervision needs. 4-C Client Records: Conditions of Probation, Medical Waivers & Records, 4-C Rules and Regulations, Counseling Progress Reports and other Supervision Information are maintained in the 4-C program file kept by the CSO. All 4-C case plan narratives are kept in CCMS. Dallas County 4-C Re-Entry Court Standard Operating Procedures 12

SOP #: 4CRC 02.02 Date: July 2011 Title: Counseling Treatment Orientation Counseling Treatment Orientation: Prior to determining client placement, the counseling supervisor reviews the SAFPF discharge packet, the most recent CATS clinical assessment and the 4-C pre-admit questionnaire. Group placement will be made following a review of these documents, as well as case narratives and the most recent criminogenic risk/needs assessment. If during the first month of counseling, the counselor believes the client needs a different level of care, they can change the clients service level within the 4-C counseling program. If the counselor believes the client needs other services, (i.e. residential treatment, mental health or medical resources) the case will be staffed with the counseling supervisor and the 4-C team to determine further action. At intake & orientation clients will complete a client admission & information packet which includes; counseling program description & rules consent to treatment consent to notify rights of participants client grievance procedure limits of confidentiality SSC participant workbook 12 Step meeting times and locations Dallas County 4-C Re-Entry Court Standard Operating Procedures 13

Counselors will assist clients in completing these forms to ensure their completeness and accuracy and sign where needed. Counselors will give the client copies of the counseling schedule, name and phone number of primary counselor, group location and start date, program rules and rights of participants. All clients must attend the Strategies for Self-Improvement and Change (SSC) orientation session prior to beginning treatment. The orientation is a two hour group review of SSC Sessions 1 and 2. During the orientation the counselor introduces the curriculum guidelines, on-going self assessment inventories, and begins client/provider collaboration on the development of the individualized relapse and recidivism continuing care plan. The orientation component sets the stage for the delivery of SSC in an open group format. SOP #: 4CRC 03.01 Date: July 2011 Title: Supervision Case Plan and Updates CSCD Supervision & Counseling Initial Case plans Supervision Case Plan: The plan is completed by the CSO within 28 days as previously noted and reviewed with probationer continuously during their participation in 4-C. The case plan includes the following: negative behavior patterns, significant contributing factors, positive behavior objectives with timeframes for achievement. CSO s review all of the conditions of probation with the participants and assist them in prioritizing their actions. The plan is designed to assist the probationer in understanding what will be required of them by their CSO of the course of 4-C. Supervision levels are kept at a 1:40 CSO to probationer ratio. The supervision case plan is reviewed during 4-C team meetings. The Case plan can be reviewed in the Corrections Case Management System (CCMS). CSCD Supervision Updates: Participants are initially seen weekly by their CSO, generally for 6-8 weeks. Their supervision status is updated to bi-weekly visits if their progress is satisfactory. Factors considered by their CSO include compliance with, transition house rules, AA/NA attendance, job search documentation; UA tests results and satisfactory counseling reports. Progress in IOP & SOP is reviewed and AA/NA step work is reviewed and verified. It is discussed how the step work is affecting their progress and positive life changes. Conditions of Probation are reviewed and it is determined if the prioritized goals are Dallas County 4-C Re-Entry Court Standard Operating Procedures 14

being met. Any changes in housing or contact information are discussed and verified. Fee schedules and job placement are reviewed. For Dual Diagnosis participants; determination is made regarding their compliance with their health care providers recommendations. Medications are discussed and reviewed, as well as the side effects and symptoms due to the medications. Documentation is kept in the supervision files and discussed with the Court and 4-C team at each court staffing. SOP #: 4CRC 03.01 Date: July 2011 Title: Supervision Case Plan and Updates Field Work Officer Duties: To provide the Court Staff with relevant verifiable contextual data regarding the probationer s progress or lack thereof in the field. This is accomplished in the following ways; FWO s make an initial visit to the proposed housing location. Using information from the questionnaire, FWO s visit the proposed housing location to determine whether it is an appropriate residence. All residents are vetted to ensure the probationer is moving into a safe and drug free environment. This information is used to assist the 4-C team in determining initial placement for each participant. Once the probationer has returned to non-transitional housing the FWO will do random inspections to confirm that the probationer is actually living there and who the other residents are. By visiting the actual residence the FWO is able to discover a vast amount of usable information that is used in the supervision of the individual. FWO s also visit work locations, AA/NA meetings and sites of other scheduled events to confirm that probationers are complying with the court ordered conditions of probation. FWO s are present at all court staffing and provide written and auditory information to the Judge. Dallas County 4-C Re-Entry Court Standard Operating Procedures 15

SOP #: 4CRC 03.02 Date: July 2011 Title: Counseling Treatment Plans, Updates and Clinical Documentation Counseling Treatment Plans: Within the first ten days of admission to the counseling group the counselor reviews with the client the most recent CATS clinical assessment, and the 4-C questionnaire form, to develop the client s Individualized Treatment Plan (ITP) When reviewing the assessment the counselor will place their initials and date reviewed next to the problems identified in the report. In addition, the SAFPF discharge summary will be reviewed with client to determine their progress made in treatment, and issues needing to be addressed in the 4-C counseling program. The counselor discuss with the client s their responses to SSC worksheets 1-4. The counselor works with the client to determine the list of problems to be addressed in order of priority. Clients advancement to subsequent phases of treatment and completion of counseling is based on their achievement of goals and objectives in the initial treatment plan, the SSC curriculum, and the SSC Master Assessment Plan. The counseling treatment plan is reviewed during the 4-C team meetings. A clinical note is completed in Behavioral Health Integrated Provider System (BHIPS) indicating the prior assessment was reviewed with the client, the problems/goals identified on the treatment plan and client s response to the session. The client will sign the treatment plan and receive a copy. The counselor will provide the CSO a printed copy of the signed plan. Dallas County 4-C Re-Entry Court Standard Operating Procedures 16

Treatment Plan Updates: The initial Individualized Treatment Plan is reviewed with the client during each individual counseling session. The counselor and client initial the date that the plan was reviewed. Any progress achieved or revisions to the plan are identified, dated and initialed by counselor and client. The counselor documents the results of the review in BHIPS and the monthly progress report. A Counseling Supervisor and CSCD Supervisor conduct periodic audits to ensure the treatment plans are being reviewed with client on a consistent basis. SOP #: 4CRC 03.02 Date: July 2011 Title: Counseling Treatment Plans, Updates and Clinical Documentation Each counseling file contains an audit form to note compliance with CJAD standards. The audit form is placed on the right side of the file in chronological order. Any concerns identified by the file audit will be forwarded to the Counseling Supervisor with the expectation that deficiencies will be corrected within 7 days of the audit. Clinical Documentation: Progress in treatment will be documented at each contact. Progress notes are entered into the BHIPS system no later than one week following the contact. A copy of all BHIPS progress notes are placed in the client s file. All collateral contacts with the probationer will be documented on progress notes including summaries of significant events that occur during treatment. Any discussions with CSO will be documented in the file. Significant events that impact the client s treatment goals and objectives will be revised and documented in the plan to reflect the appropriate adjustments needed to address the client s treatment needs. Group information sheets are submitted to a Counseling Supervisor by 3 pm every Friday. All counselors will maintain a record of each group sign-in sheet containing the date, time of session, counselor facilitating group, group topic & type, and participants signature. All client signatures must be signed in permanent ink. All original sign in sheets must be sent to the 4-C CSCD Assistant Supervisor each Friday to be kept in a binder at that location. Counselors will maintain photo-copies of the Dallas County 4-C Re-Entry Court Standard Operating Procedures 17

sign-in sheets for their records. CSO s will receive weekly, progress updates by 3 pm each Friday. Monthly progress reports will be submitted to the officers no later than the 10 th of the following month (i.e. by April 10 for the month of March.) CSO s will receive a copy of each client s initial treatment plan, when it has been completed. SOP #: 4CRC 04.01 Date: July 2011 Title: Level of Counseling Service Level of Counseling Service The following outpatient counseling services are available for the 4-C participants as a part of the SSC curriculum: A. Phase I - Intensive Outpatient (IOP): is used as the preferred point of entry for new admits to the 4-C counseling program. Phase I of the SSC curriculum covers 20 sessions, delivered 3 times per week, two hours each session. It usually takes a client 6-8 weeks to complete Phase I. Clients must be able to pass the SSC Phase 1 Graduation Inventory in order to move to Phase 2 of the program. Clients receive one individual counseling session every two weeks while in IOP. If it is appropriate, clients may bring family members to these counseling sessions. B. Phase II & III - Supportive Outpatient (SOP): Once the client has completed Phase I of the SSC curriculum, they are transferred to SOP. Phase 2 & 3 of the SSC curriculum are combined and cover sessions 21-50. SOP consists of two groups per week, two hours each session. Clients receive one individual and/or family therapy sessions each month across the 12 weeks of SOP. All clients will receive 6 to 10 Dallas County 4-C Re-Entry Court Standard Operating Procedures 18

individual and/or family therapy sessions across the 12 weeks of SOP. The frequency and number of individual and family sessions will be client driven. Clients who do not have supportive healthy families will be matched with mentors to provide ongoing support. SOP #: 4CRC 04.02 Date: July 2011 Title: Counseling Treatment Delivery Counseling Treatment Delivery Treatment Curriculum: The 4-C counseling program uses the Criminal Conduct and Substance Abuse Treatment, Strategies for Self-Improvement and Change (SSC). This curriculum is an evidenced-based, 50 sessions, manual-guided, cognitive/behavioral treatment program. The program is specifically developed for adults ages 18 or older with a history of criminal conduct and alcohol and other drug abuse problems. All of the counselors are trained to deliver the SSC curriculum and possess the ability to integrate the therapeutic and correctional approach to facilitate change The following outpatient counseling services are available for the 4-C participants as part of the SSC curriculum: Group Sessions: Some variations on group structure include gender specific groups or special needs populations. 4-C offers two SOP women s issues groups that do not exceed more than 14 participants. The Female-Focused Strategies for Self- Dallas County 4-C Re-Entry Court Standard Operating Procedures 19

Improvement and Change, is used in conjunction with the curriculum to address many of the contextual issues that women experience in the criminal justice system. SOP Dual Diagnosis treatment groups use the SSC curriculum and in addition a referral to one of the community outpatient mental health clinics is given. These clinics provide excellent supplemental support through dual disorder education and medical services. Dual diagnosis groups will not exceed 12 participants. Clients in Dual Diagnosis group will be required to be in compliance with treatment by psychiatric providers, including taking their medication. General Information: The 4-C counseling component provides clinical interventions to probationers through groups and individual sessions, including work with families. Prior to SAFPF unit discharge, a Treatment Team Meeting occurs to ensure continuity in treatment and supervision during the transitional portion of the SAFPF program.. Participants in the meeting are a CSO, and SAFPF Unit counselor, the meeting is documented in the CCMS. SOP #: 4CRC 05.01 Date: July 2011 Title: Clinical Supervision, Observations, Reviews and Training Clinical Supervision: Meetings occurs every Wednesday from 1-3 pm for the 4-C counselors and the Counseling Supervisor. The Counseling Supervisor and Counselors discuss individual cases, potential court sanction lists and policy & procedure updates. The counseling supervisor maintains a record of all group supervision sessions, with the date, location, and signatures of counselors and supervisor involved in the meeting. Any discussions between the primary counselor and other counselors or the supervising psychologist will be documented in the file. Additional staffing on individual cases may be held with the counseling supervisor as needed. Clinical Documentation Reviews: The counseling supervisor will review 10% of the treatment population files each month utilizing the counselor audit form to ensure the quality and timeliness of the clinical documentation. Group Observation: The supervising psychologist or a counseling supervisor will periodically observe CATS counselors in group using the SSC Program Supervision Inventory. This instrument is used as a guide for providing structured supervisory Dallas County 4-C Re-Entry Court Standard Operating Procedures 20

feedback to SSC providers and program administrators regarding fidelity to the SSC model. The supervision inventory assesses the facilitator s delivery of SSC since it is premised on a variety of assessment, teaching, counseling, correctional supervision and group facilitation skills. The inventory is reviewed with the counselor at the end of each group. Counselor Training: All new counselors will participate in two week training with the SSC curriculum, TDCJ/CJAD compliance standards and CATS policies and procedures. Each new counselor will be sent to various satellite locations to observe SSC facilitators who have extensive training with the curriculum. New counselors receive a copy of the SSC Provider Manual and the SSC Participant Handbook. Counselors in training are encouraged to take notes during the group observation and review with the facilitator after the group. Counselors in training are required to complete BHIPS group notes and present to the facilitator for review and feedback. SOP #: 4CRC 05.01 Date: July 2011 Title: Clinical Supervision, Observations, Reviews and Training New counselors must be able to demonstrate substantial knowledge of the SSC goals and the TDCJ/CJAD standards. All new counselors will be given the opportunity to facilitate an SSC group under the observation of a trained facilitator. In addition the counseling supervisor or supervising psychologist will periodically observe new counselors conducting SSC groups during the first 90 days of their CSCD probation period. All of the 4-C counselors will be required to attend the SAFPF immersion training. Dallas County 4-C Re-Entry Court Standard Operating Procedures 21

SOP #: 4CRC 05.02 Date: July 2011 Title: Internal Audit and Control Internal Audit and Control: Three days every third month of the year, 4-C shuts down counseling and reporting to the CSO s. Field Officers and the random UA line continue to function and supervise all probationers. All court sessions are run by the Judge, ADA and APD without requiring counselors or CSO s to be present. This allows the supervising officers and supervising counselors to conduct internal audits and to ensure quality control. Any issues that arise during these weeks are immediately addressed and corrected. During the Internal Audit and Control process treatment staff shall develop and alternative treatment schedule consisting of assignments to be shared during the next scheduled group session. Dallas County 4-C Re-Entry Court Standard Operating Procedures 22

SOP #: 4CRC 06.01 Date: July 2011 Title: Court Staff Team Meeting Court Staff Team Meetings CSO s are assigned specific caseloads and each caseload has a particular court date. Tuesdays are specifically for dual diagnosis or special needs clients. CSO s are expected to prepare case staffing reports for the Judge for each client on each court setting. These reports include updates of the participants progress since the last court setting and recommendations in regards to participants on the sanctions list. The reports will also include the counselor s treatment response for each client on the sanction list. CSO s are expected to participate in all discussions of each of their probationer s progress or regress. Staffing reports will include counselor treatment recommendations in regard to clients on the sanction lists. These staffing reports are court records and as such are kept by the court. CSO s participate in all court staffing and provide information and answer questions for the Judge. Discussions of the participants progress or regress as well as phase Dallas County 4-C Re-Entry Court Standard Operating Procedures 23

advancements are discussed. Any problem a participant may have is resolved in the staffing. Counselors are assigned to specific staffing and court dates. The counselors participate in 4-C weekly Court Staffing to review client progress or concerns. In addition CSO s and counselors meet twice per month to review treatment plans, supervision case plans and, monthly progress updates. The primary counselor receives a copy of the weekly supervision staffing summary and notes any concerns or recommendations from the team. The staffing summary is kept in the client file on the right side in chronological order. The counselor will document any sanctions administered by the court that may result in a disruption in a client s treatment. When a client is sanctioned by the court, a clinician s note will be placed in client s file providing a brief explanation as to why the client was sanctioned, the teams decision, and treatment response from the primary counselor. The CSO reports all team decisions in the case narratives. All BHIPS clinician s notes will include information regarding how the participant will make up group sessions and assignments missed due to court sanctions. If necessary the counselor will meet with the client individually to review the material covered in missed sessions. SOP #: 4CRC 07.01 Date: July 2011 Title: Continuum of Care and Discharges SUMMARIES AND ADDENDUMS Continuum of Care and Discharge: The only time a discharge summary is completed is when the client is discharged from the 4-C program. When a client has completed a 4-C counseling group the counselor will complete either a Satisfactory Completion Summary or an Unsuccessful Completion Addendum. If necessary the client will be referred to a TDCJ approved vendor for aftercare services. Satisfactory Discharge: a. Probationer has completed requirements of the program as dictated by his/her individual treatment plan as determined by the counselor. Dallas County 4-C Re-Entry Court Standard Operating Procedures 24

b. Probationer has completed community supervision and/or otherwise satisfied the court s requirement. Unsatisfactory Discharge: a. Client has demonstrated non-compliance with the program through documented program rules violations (excessive absences, undisclosed substance use, etc.). b. Client requires a more intensive level of care to disrupt pattern of active substance use. c. Probationer manifests a medical problem that prohibits participation and/or completion of program requirements. d. Probationer displays symptoms of a psychological disorder that prohibits participation and/or completion of program requirements. SOP #: 4CRC 07.01 Date: July 2011 Title: Continuum of Care and Discharges Satisfactory Discharge Summary: to include the following components: clinical problems at the onset of treatment and original diagnosis; the problems or needs and strengths or weaknesses identified on the master treatment plan; the goals and objectives established; the course of treatment; and the outcomes achieved. The counselor will work with client and family member (if available) to complete a discharge plan. A hard copy of the discharge plan will be placed in the client s file. Unsatisfactory Discharge Summary: Counselors will staff all unsuccessful discharge decisions due to non-compliance with counseling supervisor or supervising psychologist before dismissing probationer. Unsuccessful discharge addendums will include the information identified above, but will also contain the following: reason Dallas County 4-C Re-Entry Court Standard Operating Procedures 25

for unsuccessful completion; other relevant information related to dismissal from the group; current DSM-IV diagnoses and GAF score; DSM-IV diagnoses deleted by the addendum report; current criminogenic need ratings, new treatment recommendations for substance abuse and criminal thinking/attitudes; and a Responsivity analysis and prognosis. Discharge Plan: Upon completing Phase II- SOP, the counselor and client will complete a Discharge Plan. The supervision officer will receive a copy of the discharge summary and the discharge plan within seven days of the discharge. The discharge summary will be documented in the notes located on the CCMS System by the Court Officer for Dallas County CSCD. SOP #: 4CRC 08.01 Date: July 2011 Title: Required Postings and Counselor Licensure Required Postings/Counselor Licensure: Substance abuse counselors will be licensed professionals (i.e. LCDC, LPC, MSW etc.) or graduate-level professionals who are license eligible. If a counselor is not licensed, a licensed professional will supervise him. Professional staff that is not licensed is encouraged to pursue licensure within the first six months of hire. Professional staff should submit copies of their current licenses at renewal to the counseling supervisor to be kept in their training documentation files. This will provide an opportunity for counselors to have a full understanding of the client s experience in the SAFPF units. All credentialed counseling staff is required to post their license and current Commission s poster on reporting complaints and violations where services are Dallas County 4-C Re-Entry Court Standard Operating Procedures 26

provided. Commission postings for Client Rights and Grievance Procedures are posted at each location where counseling services are provided. Dallas County 4-C Re-Entry Court Standard Operating Procedures 27

4-C SAFPF RE-ENTRY COURT Supervision Attachments Dallas County 4-C Re-Entry Court Standard Operating Procedures 28

Date: July 2011 ATTACHMENT I 4-C SAFPF RE-ENTRY COURT INCENTIVE AND SANCTION MATRIX FOR CSCD Throughout the course of the SAFPF 4C Re-Entry Court Program, participants understand that there is an incentive and sanction matrix applicable to them. If the participants are successful in achieving certain goals they receive incentives. If they violate any of the rules of the SAFPF 4C Re-Entry Court Program, they are subject to certain sanctions. The goals and incentives, as well as the violations and sanctions are listed below: REWARDS AND INCENTIVES Each participant is given the opportunity to reduce the number of community service hours and/or fines and court costs by earning tokens. Tokens are received based upon level of participation and compliance. Each participant is responsible for maintaining their own individual tokens. Tokens can be redeemed in groups of three or more or a value of $100 or more. Attachment A is the court forms explaining the rating and scoring system Rating score of six = $25 token Rating score of seven or eight = $50 token Community Service Credit For each group, peer support, or individual meeting attended, participants earn one community service hour credit. Perfect attendance to aftercare each month earns $50 in tokens. Client Progress of the Quarter One participant is selected every quarter and rewarded with the Most Valuable Player award and earns $100 in tokens and 10 hours of community service credit. Dallas County 4-C Re-Entry Court Standard Operating Procedures 29

Date: July 2011 ATTACHMENT I VIOLATIONS AND SANCTIONS Level I Violations: 1. Tardiness - to court, appointments, groups, programs or meetings 2. Inappropriate dress or attire 3. Failure to participate or complete assignments Level II Violations: 1. Failure to appear - court, meetings, group, program or meetings 2. Missed appearance in compliance with court order or directive 3. Delinquent fees Level III Violations 1. First or second positive UA 2. First or second diluted UA, in accordance with UA policy 3. Misconduct - in court, groups, programs, meetings or community service restitution or with staff Level IV Violations 1. New offense 2. Absconding 3. Unsuccessful discharge from group or program 4. Positive or diluted UA two or more times, in accordance with UA policy Dallas County 4-C Re-Entry Court Standard Operating Procedures 30

Date: July 2011 ATTACHMENT I Level I Sanctions: 1. Verbal reprimand 2. Community service not to exceed 8 hours 3. Additional work assignments 4. Any combination of the above Each additional level I violation will count towards enhancement to a level II sanction. Three or more level I violations will result in a level II sanction. 90 days of sanction free time will bar the uses of the prior violation towards enhancement Level II Sanctions 1. All level I sanctions 2. Community service restitution of no less than 8 hours but no more than 24 hours 3. Additional reports or appearances to court, supervising officer, groups, outpatient programs or meetings 4. Any combination of the above Two or more level II violations will result in a level III sanction 90 days of sanction free time will bar the use of prior sanction towards enhancement Level III Sanctions: 1. All prior level I and level II sanctions 2. Community service restitution of no less than 24 hours and no more than 40 hours Dallas County 4-C Re-Entry Court Standard Operating Procedures 31

3. Incarceration for a period of no less than day and no more than 10 days Date: July 2011 ATTACHMENT I 4. In patient treatment including SAFPF Relapse, ISF Facility, JTC Wilmer, NEXUS, Homeward Bound or the Salvation Army 5. Any combination of the above Two or more level III violations will result in a level IV sanction 90 days of sanction free time will bar the use of prior violation towards enhancement Level IV Sanctions: 1. All level I, II, and III sanctions 2. Incarcerations of no less than 6 days up to the maximum exposure each participant faces if they are revoked 3. Administrative review with the possibility of unsuccessful discharge from the program. 4. Any combination of the above The Rewards/Sanctions can be reviewed in the (CCMS) Corrections Case Management System. 4-C Has Two Absolute Rules: Absconding or Lying will result in incarceration* *These are the Judges rules and are not negotiable by anyone but the Judge. Dallas County 4-C Re-Entry Court Standard Operating Procedures 32

Date: July 2011 ATTACHMENT II Rating System for Weekly Progress Report 8 = Progressed & Maintaining 7 = Progressing, action-oriented, non-resistant, invested 6 = Progressing, action-oriented non-resistant, invested (controlled setting) 5 = Progressing, good planning and preparation 4 = Progressing, but very slowly 3 = No progress, no commitment, some resistance, just going through the motions 2 = No progress, may be regressing 1 = No progress, unwilling/unable to change, may need termination 8 =PROGRESSED AND MAINTAINING Clients scored at this level of progress have successfully met all expectations of supervision and treatment. They have maintained acceptable employment; remained drug-free and law-abiding. Their behaviors and attitude reflect a positive and prosocial lifestyle change. Their behaviors are characterized by consistent practice of skills acquired and a persistent attitude that supports use and maintenance of all knowledge and skills learned. Maintenance at this level in conjunction with the acceptable amount of time in treatment and/or supervision qualifies these clients for successful discharge consideration. 7= PROGRESSING, ACTION-ORIENTED, NON-RESISTANT, INVESTED Clients scored at this level of progress have stopped resisting the behavioral changes advocated by treatment and supervision. They have embraced the knowledge and skills afforded them and have begun implementing the skills and strategies offered. Dallas County 4-C Re-Entry Court Standard Operating Procedures 33

Indicative characteristics of clients at this level are their positive talk about change and their tendency to take positive actions for themselves without being told to do so. Cognitive changes for the better are reflected in the quality of their decision- Date: July 2011 ATTACHMENT II making. Their total behavior suggests a real investment in recovery and sincere concern for acceptance in the community as employed and law-abiding citizens. This progress level is most appropriate when clients are not residing in a controlled environment. 6= PROGRESSING, ACTION-ORIENTED, NON-RESISTANT, INVESTED Clients scored at this level of progress are in a controlled environment and have stopped resisting the behavioral changes advocated by treatment and supervision. They have embraced the knowledge and skills afforded them and have begun implementing the skills and strategies offered. Indicative characteristics of clients at this level are their positive talk about change and their tendency to take positive actions for themselves without being told to do so. Cognitive changes for the better are reflected in the quality of their decision-making. Their total behavior suggests a real investment in recovery and sincere concern for acceptance in the community as employed and law-abiding citizens. This progress level is most appropriate when clients are still residing within a controlled environment. 5= PROGRESSING, GOOD PLANNING AND PREPARATION Clients scored at this level have accepted they have problems with drug use, unemployment and/or criminality and have intentions to change. They have accepted their lives will be better through change and prepare for it. They are on the verge of taking positive actions and becoming actively involved in the change process. They speak of change and are more open to suggestions and accepting of help. They make their intentions known and think aloud about specific steps they will take. Clients should be encouraged to fully plan out and review their options. They should be assisted in developing awareness of possible consequences before implementing their plan. They are primarily recognized by their focus on thought processes rather than actions and they should be encouraged to think plans through and not take action prematurely. Some prodding and encouragement is still necessary, as moving to action beyond planning is still difficult. Conversely, case management should watch for possible fixation on the safety of preparation and Dallas County 4-C Re-Entry Court Standard Operating Procedures 34

planning. That fixation can stifle the risk action that plan implementation requires for moving forward. Date: July 2011 ATTACHMENT II 5* = POTENTIAL REACHED, NO FURTHER PROGRESS EXPECTED Clients are scored at this level of progress due to their physical and/or mental limitations. Their limitations make it impossible or improbable for them to meet treatment or supervision requirements. Their potential for change has been reached and no further progress is expected. This progress level should be used only when it is supported by medical, psychological and/or other acceptable methods of assessment. (For internal team use only) 4 = PROGRESSING, BUT VERY SLOWLY Clients are scored at this level of progress when they actually contemplate and accept they have problems with drug use, unemployment and criminality and their behaviors support that acknowledgement. They seek to evaluate and understand their behaviors. They are often distressed at their findings and express desire to take control. They think about change, but have taken little action toward it. Often they are not prepared to do so anyway. They are more receptive to evaluation of the pro and cons of their behaviors. Overt resistance to change diminishes, but progress may still be slow. They will still be riding the fence in deciding what to do and will need continued positive support and prodding. Ambivalence dominates their thinking processes. They have contemplated or accepted they have problems, but are conflicted. They know better, but may still continue with their counterproductive behaviors. 3 = NO PROGRESS, NO COMMITMENT, SOME RESISTANCE, JUST GOING THRU THE MOTIONS Clients scored at this level understand instructions and expectations, but have made no commitment to internalize the intent of supervision or treatment. They may say they have problems with drug use or unemployment, but the admission is strategic rather than heartfelt. Their actions will not match their words. Overt or passive aggressive resistance will likely continue. They still have the mindset that continuing their current behaviors is better than alternatives offered. They are not convinced change is better. Drug use and concealing it is still a strong possibility. They may strategize to meet minimum compliance requirements with the intent of just getting by, but integration of positive change principles has not occurred. Dallas County 4-C Re-Entry Court Standard Operating Procedures 35