Orange County Drug Court Standards Manual Superior Court of California Drug Court Standards Manual [5/03]
FORWARD The purpose of the following document is to provide a general framework of common principles, policies and practices for the Orange County Superior Court Drug Courts. This structure of standards and practices will: Minimize duplication of efforts and ensure greater coordination as court supervised drug treatment programs are established countywide; Maximize coordination and sharing of scarce monitoring and treatment resources; Strengthen efforts to obtain Federal, State, and Local funding; and Facilitate development of coordinated long-range plans for financing drug court operations. Developed through a consensus of involved countywide agencies, the standards include all of the elements that are considered essential to the operation of a Drug Court program in Orange County. Collectively, they represent a required minimum program model. Specific practices are also described to provide examples of actions that should be taken to ensure conformity to the countywide standards. The standards and practices described in this document are the product of the collaborative effort of all the participating agencies playing a role in the Court. Clearly, there are and will continue to be differences between individual Drug Court programs. All programs are intended to reflect the unique needs and operational environments of the local court jurisdictions. However, it is also clear that there is a need for overall uniformity as to basic program components and operational procedures and principles. Therefore, this document is an attempt to outline those fundamental standards and practices to which all Drug Court programs in the County should subscribe. --i-- (Revised 5/03)
INTRODUCTION A Drug Court is a court that has been specifically designated and staffed to supervise nonviolent felony or misdemeanor drug defendants who have been referred to a comprehensive and judicially monitored program of drug treatment and rehabilitation services. Based on an innovative program that was first developed in Miami, Florida in 1989, the Drug Court concept has received widespread attention as an effective treatment strategy for druginvolved criminal offenders. There are more than 1000 such programs in operation in jurisdictions throughout the nation; 100 of which are operating in California alone. In Orange County, judicial leaders along with criminal justice and drug treatment officials studied Drug Courts during a two-year period, and in March 1995, with a plan of controlled expansion, implemented the County s first felony Drug Court Program in Orange County Superior Court, Central Justice Center. Effective January 1997, a felony Drug Court commenced operation in Harbor Justice Center, Laguna Niguel. In June, 1998 a misdemeanor Drug Court commenced operation in the Central Justice Center; followed by the opening of a program in the North Justice Center in January 1999. West Justice Center began a felony drug court program in January 2000. The final court location, Harbor Justice Center, Newport Beach, opened a felony drug court in July 2000. With the implementation of the Newport Beach program, drug court is now available at all court locations in the County. Drug Courts represent a very non-traditional approach to criminal offenders who are addicted to drugs. Rather than focusing only on the crimes they commit and the punishments they receive, Drug Court also attempts to solve some of the participants underlying problems. Drug Courts are built upon a unique partnership between the criminal justice and the drug treatment communities, one which structures treatment intervention around the authority and personal involvement of a single Drug Court Judge. Drug Courts are also dependent upon the creation of a non-adversarial courtroom atmosphere where a single judge and dedicated court staff and the treatment team work together toward a common goal of breaking the cycle of drug abuse and criminal behavior. An environment with clear and certain rules is created and a participant s compliance is within their own control. Because of the unique problems and opportunities that present themselves in working with drug involved criminal defendants, treatment and rehabilitation strategies must be reality-based. Drug Court programs must therefore recognize that: Addicts are most vulnerable to successful intervention when they are in the initial crisis of arrest and incarceration, so intervention must be immediate and up-front. Preventing gaps in communication and ensuring offender accountability are of critical importance, so court supervision must be coordinated and comprehensive. --ii-- (Revised 5/03)
Addiction to drugs is a longstanding, debilitating condition, so treatment must be long term and comprehensive. Addiction to drugs seldom exists in isolation from other serious problems that undermine rehabilitation, so treatment must include integration of other available services and resources such as educational assessments, vocational assessments, training and job placement. Progressive sanctions and incentives must be integral to the Drug Court treatment strategy to address relapses and promote recovery. Although individual Drug Court Programs will vary, the goals common to all are to: Reduce participant contacts with the criminal justice system; Reduce costs associated with criminal case processing and rearrest; Introduce participants to an ongoing process of recovery designed to achieve total abstinence from illicit/illegal drugs; and Promote self-sufficiency and empower substance abusers to become productive and responsible members of the community. The National Association of Drug Court Professionals (NADCP) developed the following 10- key components for drug courts: 1) Drug Courts integrate alcohol and other drug treatment services with justice system case processing. 2) Using a non-adversarial approach, prosecution and defense counsel promote public safety while protecting participants due process rights. 3) Eligible participants are identified early and promptly placed in drug court program. 4) Drug courts provide access to a continuum of alcohol, drug, and other related treatment and rehabilitation services. 5) Abstinence is monitored by frequent alcohol and other drug testing. 6) A coordinated strategy governs drug court responses to participants compliance. 7) Ongoing judicial interaction with each drug court participant is essential. 8) Monitoring and evaluation measure the achievement of program goals and gauge effectiveness. 9) Continuing interdisciplinary education promotes effective drug court planning, implementation, and operations. --iii-- (Revised 5/03)
10) Forging partnerships among drug courts, public agencies, and community-based organizations generates local support and enhances drug court effectiveness. --iv-- (Revised 5/03)
TABLE OF CONTENTS Page DIVISION 1 ADMINISTRATION....... 1-1 Chapter 1. Drug Courts Defined....... 1-2 Chapter 2. Oversight Committee....... 1-3 Chapter 3. Local Drug Court Teams....... 1-4 DIVISION 2 OPERATIONS........ 2-1 Chapter 1. Agency Responsibilities....... 2-2 Chapter 2. Operational Agreement....... 2-4 Chapter 3. Personnel......... 2-5 DIVISION 3 INTAKE/REFERRAL....... 3-1 Chapter 1. Prompt Assessment........ 3-2 Chapter 2. Advisement and Indoctrination...... 3-3 Chapter 3. Window Period........ 3-4 DIVISION 4 ASSESSMENT........ 4-1 Chapter 1. Eligibility......... 4-2 Chapter 2. Suitability......... 4-4 DIVISION 5 THE COURTROOM....... 5-1 Chapter 1. Specialized Courtroom....... 5-2 Chapter 2. Administrative Procedure....... 5-3 DIVISION 6 - PROGRAM FEES....... 6-1 Chapter 1. Basis for Fees......... 6-2 Chapter 2. Collection......... 6-3 DIVISION 7 PROGRESSIVE RESPONSES..... 7-1 Chapter 1. Incentives......... 7-2 Chapter 2. Sanctions......... 7-3 DIVISION 8 DATA COLLECTION AND PROGRAM EVALUATION.. 8-1 Chapter 1. Automation of Information...... 8-2 DIVISION 9 TREATMENT AND MONITORING.... 9-1 Chapter 1. Treatment Team........ 9-2 Chapter 2. Comprehensive and Integrated Services.... 9-3 Chapter 3. Drug Testing......... 9-4 Chapter 4. Treatment Plan........ 9-6 DIVISION 10 ROLE OF THE JUDGE...... 10-1 Chapter 1. Focus and Direction of Program...... 10-2 Chapter 2. Program Advocacy........ 10-3 Appendix (Revised 5/03)
DIVISION 1 ADMINISTRATION Standard Effective Revised CHAPTER 1. DRUG COURTS DEFINED 100. Orange County Drug Courts 01/01/99 05//03 CHAPTER 2. OVERSIGHT COMMITTEE 110. Establishment of the Oversight Committee 06/01/97 05/03 112. Composition and Purpose of the Oversight Committee 06/01/97 05/03 114. Voting Members 05/03 116. Oversight Committee Chair/Vice Chair 01/01/99 05/03 CHAPTER 3. LOCAL DRUG COURT TEAMS 120. Establishment and Purpose of the Local Drug Court Teams 06/01/97 05/03 1-1 (Revised 5/03)
Chapter 1 Drug Courts Defined STANDARD 100. ORANGE COUNTY DRUG COURTS The operational felony Drug Court programs of the Orange County Superior Court will reflect the overall uniformity of procedures and principals set forth in this document. It is understood that each program will reflect the unique needs of the local jurisdiction environment. 1-2 (Revised 5/03)
Chapter 2 Oversight Committee STANDARD 110. ESTABLISHMENT OF THE OVERSIGHT COMMITTEE A standing committee will be established to provide the necessary oversight on policy decisions on a daily operational basis. STANDARD 112. COMPOSITION AND PURPOSE OF THE OVERSIGHT COMMITTEE A Drug Court oversight committee composed of participating judges, and management staff of all participating agencies meets as necessary for the purpose of establishing or changing operational policy and the Drug Court standards. Agencies or persons invited to participate shall include but not be limited to the Judiciary, Court Administration, the District Attorney s Office, the Public Defender s Office, Health Care Agency, Probation Department, Sheriff s Department, local law enforcement representatives and a community based organization. STANDARD 114. VOTING MEMBERS Each represented agency or organization shall have one vote. In the event that any agency has multiple members in attendance, one member will be designated as the voting member. STANDARD 116. OVERSIGHT COMMITTEE CHAIR A committee chair and vice-chair will be elected by a majority vote of attending voting members. The term of these offices shall be two years beginning January 1 st of each even numbered year. Elections shall take place at the November meeting. The role of the chair will be to lead meetings and facilitate policy discussion as well as to disseminate meeting minutes. 1-3 (Revised 5/03)
Chapter 3 Local Drug Court Teams STANDARD 120. ESTABLISHMENT AND PURPOSE OF THE LOCAL DRUG COURT TEAMS Each Justice Center Drug Court program will establish a local team composed of operations staff of the participating agencies. This team will meet on a regular basis for the purpose of resolution of daily operational issues. All issues requiring a policy decision will be forwarded to the Oversight Committee for resolution. 1-4 (Revised 5/03)
DIVISION 2 OPERATIONS Standard Effective Revised CHAPTER 1. AGENCY REPONSIBILITES 200. Establishments of Uniform Drug Court Programs 06/01/97 202. Participating Agencies Commitment of Support 06/01/97 204. Adherence to Confidentiality of Client Records 06/01/97 CHAPTER 2. OPERATIONAL AGREEMENT 220. Operational Agreement Among Agencies 6/01/97 05/03 222. Renewal of Operational Agreement 05/03 CHAPTER 3. PERSONNEL 230. Term of Staff Assignment 06/01/97 232. Training and Orientation 06/01/97 2-1 (Revised 5/03)
Chapter 1 Agency Responsibilities STANDARD 200. ESTABLISHMENT OF UNIFORM DRUG COURT PROGRAMS Participating agencies will cooperate with efforts to establish uniform, coordinated, Drug Court programs that meet the county s minimum standards for operating and administering a drug court. STANDARD 202. DUTY OF AGENCIES TO MAKE NECESSARY ADJUSTMENTS TO PROGRAMS Participating agencies will support qualified Drug Court Programs by making appropriate adjustments to internal policies, practices, and procedures to ensure successful day-to-day operation. The Court, the District Attorney, Public Defender, Probation, Health Care Agency, and Law Enforcement agree, where appropriate, to: Provide administrative support for the development and compliance with agencywide, uniform policies and procedures for all drug court operations; Encourage agency-wide communication and cooperation among dedicated Drug Court personnel; and Develop agency-wide procedures to collect and maintain statistical and evaluation information based upon countywide standards. STANDARD 204. ADHERENCE TO CONFIDENTIALITY OF CLIENT RECORDS Participating agencies will strictly observe clients rights to confidentiality in accordance with Title 42, Code of Federal Regulations, Part 2, Confidentiality of Alcohol And Drug Abuse Patient Records, and section 11075 through section 11080 of the California Penal Code, Criminal Record Dissemination, and Security Clearance Act of 1985 (Public Law 99-169 Statute 1009, H.R. 2419). A. Health Care Agency staff and residential treatment programs will obtain and file in client case records, Consent to Release Information forms signed by clients to authorize exchange of information between participating individuals/agencies. Separate consent forms must specify the Drug Court Judge and the representative for the District Attorney, the Public Defender, and the Probation Department. Additional signed forms will be obtained as necessary to designate other agencies serving the participants. (Appendix A) 2-2 (Revised 5/03)
B. Probation staff will complete a Probation Court Ordered Referral and Release of Information form for all the participants to authorize the exchange of information between the Department and participating agencies (i.e., HCA). Additional forms will be completed as necessary to any other agency serving the participants. (Appendix B) 2-3 (Revised 5/03)
Chapter 2 STANDARD 220. OPERATIONAL AGREEMENT AMONG AGENCIES Participating agencies will establish, as necessary, a countywide Operational Agreement to ensure the continuity of legal policies, the integrity of the therapeutic intervention, and other standards necessary to the operation of Drug Court. STANDARD 222. RENEWAL OF OPERATIONAL AGREEMENT The operational agreement will be reviewed periodically and updated as needed. 2-4 (Revised 5/03)
Chapter 3 Personnel STANDARD 230. TERM OF STAFF ASSIGNMENT Participating agencies will, whenever feasible, make full or part-time staff assignments of interested, appropriate professionals to the Drug Court for a minimum term of two years to ensure stability and continuity of day-to-day operations and to strengthen collaborative relationships between the key professionals. (DA excluded from this provision.) STANDARD 232. TRAINING AND ORIENTATION Participating agencies will provide assigned staff with an orientation to the Drug Court concept and training in the day-to-day Drug Court operations. 2-5 (Revised 5/03)
DIVISION 3 INTAKE/REFERRAL Standard Effective Revised CHAPTER 1. PROMPT ASSESSMENT 300. Time Frame for Enrollment 06/01/97 302. Assessment of Eligibility 06/01/97 304. Suitability Screening 05/03 306. Determination of Acceptance 06/01/97 308. Immediate Referral for Orientation 06/01/97 310. Admissibility of Statements during Assessment 06/01/97 CHAPTER 2. ADVISEMENT AND INDOCTRINATION 312. Determine of Potential Eligibility 06/01/97 314. Advisement and Explanation of Program 06/01/97 CHAPTER 3. WINDOW PERIOD 320. 14-Day Period to Withdraw from Program 06/01/97 3-1 (Revised 5/03)
Chapter 1 Prompt Assessment STANDARD 300. TIME FRAME FOR ENROLLMENT Defendants in custody will be referred to Drug Court within the statutory time frame required to ensure prompt program enrollment and participation. Defendants out of custody and/or referred by other courts/jurisdictions (OR releases, bail-outs, diversion fallouts) will be assessed for eligibility and suitability as soon as possible. STANDARD 302. ASSESSMENT OF ELIGIBILITY The Deputy District Attorney will determine potential eligibility for Drug Court, at the earliest practical time. Further, determinations regarding ongoing participation will be based on performance in the program, not legal aspects of the case, barring additional criminal behavior. STANDARD 303. ADVISEMENT AND EXPLANATION OF PROGRAM The Deputy Public Defender will provide information regarding the nature and purpose of Drug Court, the consequences of abiding or failing to abide by the rules, explain all of the rights that the defendant will temporarily or permanently relinquish, and will assist in the evaluation of potential defendants for eligibility and willingness to participate. (See sample Tahl Form and Drug Court Plea Agreement Appendix F and Appendix G) STANDARD 304. SUITABILITY SCREENING Staff from the Probation Department and the Health Care Agency will interview the defendant and provide a suitability assessment for the court at the time of the pretrial hearing with the Drug Court Judge. (See Standards 410, 412, and 414) (Appendix C and D) STANDARD 306. DETERMINATION OF ACCEPTANCE At the pretrial hearing the Drug Court Judge makes the decision to accept or reject participants for Drug Court. The defendant is required to plead guilty to the count(s), sentence is suspended, and he/she is placed on formal probation for a period of three years. STANDARD 308. IMMEDIATE REFERRAL FOR ORIENTATION If accepted into the Drug Court Program, participants are immediately referred to the Probation Department for program orientation. (Appendix E).
STANDARD 310. ADMISSIBILITY OF STATEMENTS DURING ASSESSMENT No statement, or any information procured there from, made by the defendant to any Drug Court assessment team member during the course of the assessment of eligibility and prior to the reporting of the Drug Court assessment team s findings and recommendations to the court, shall be admissible in any action or proceeding brought subsequent to the assessment, including for the purposes of impeachment, nor in the specific action in which the defendant is charged. 3-2 (Revised 5/03) Chapter 2 Advisement and Indoctrination 3-3 (Revised 5/03) Chapter 3
Window Period STANDARD 320. 14-DAY PERIOD TO WITHDRAW FROM PROGRAM Formal admission into the Drug Court Program occurs subsequent to a 14-day window period in which the participant may decline further participation or the treatment team may determine that they are not suitable. In either case, the participant may withdraw his/her guilty plea. 3-4 (Revised 5/03) DIVISION 4
ASSESSMENT Standard Effective Revised CHAPTER 1 ELIGIBILITY 400. Admission Criteria 10/19/98 05/03 402. Determination Responsibility 01/01/99 CHAPTER 2 SUITABILITY 410. Screening Responsibility 06/01/97 05/03 412. Characteristics of Suitability 06/01/97 414. Police Informants 03/11/98 4-1 (Revised 5/03)
Chapter 1 Eligibility STANDARD 400. ADMISSION CRITERIA Consideration for admission to the Drug Court Program will be limited to those defendants who: 1. Have been charged with violations of: Χ Health and Safety Code Section 11350 Χ Health and Safety Code Section 11357 Χ Health and Safety Code Section 11358 Χ Health and Safety Code Section 11364 Χ Health and Safety Code Section 11368 Χ Health and Safety Code Section 11377 Χ Health and Safety Code Section 11532 Χ Health and Safety Code Section 11550(a) Χ Business and Professions Code Section 4060 Χ Business and Professions Code Section 4140 Χ Penal Code Section 653f(d) (NOTE: Defendants who have qualified for a court ordered diversion or treatment program under Penal Code Section 1000 or Penal Code 1210, but have failed to comply with the program requirements may be eligible for Drug Court, if all other requirements are met.), and 4-2 (Revised 5/03)
2. Acknowledge a substance abuse problem, plead guilty, and agree to participate in a minimum 18-month intensive treatment program. A. Exclusions: Defendants who fall within any of the following categories are not eligible for drug court unless they fall within the specific exceptions to these exclusions. In that case the factor will be considered as one of suitability. 1) Have prior felony or misdemeanor convictions involving violence or weapons, or, in the current case, possess any firearm, weapon, use any violence or threaten any violence. a) Exceptions: i) Where the weapon possessed in the current case is either a ordinary, unmodified baseball bat, an ordinary folding pocket knife or a nunchakus and there was no use or threat to use it in the current case. ii) Where the prior disqualifying misdemeanor conviction is for a violation of Penal Code Sections 415, 240 or 242 and is over 5 years old. 2 Have prior serious or violent felony convictions as defined in Penal Code Section 1192.7 and Section 667.5 (no Strike convictions); or 3. Have prior convictions for drug trafficking, sales or possession for sales; or 4. Are on parole; a. Exceptions: i. Where the charges in the case that resulted in a prison sentence were for possession only. 5. Have graduated from Orange County Drug Court program; or 6. Are not lawfully within the United States, or are under active deportation procedures. STANDARD 402. DETERMINATION RESPONSIBILITY The District Attorney s Office identifies potentially eligible defendants for Drug Court participation. The Probation Department conducts an eligibility screening on defendants
identified as eligible by the District Attorney s Office. The Health Care Agency also conducts a provisional mental health assessment to determine the participant s ability to comply with the out-patient program. Chapter 2 Suitability 4-3 (Revised 5/03) STANDARD 410. SCREENING RESPONSIBILITY All Drug Court participants will be screened for suitability by the treatment staff at the time of initial placement. The treatment team, consisting of staff from the Probation Department and the Health Care Agency, Division of Alcohol and Drug Abuse Services, (HCA) assists the Drug Court Judge in determining the overall suitability of defendants for the program by completing a comprehensive assessment. A. Risk assessment factors considered in admission to the Drug Court Program include family and community ties, gang affiliation or lack thereof, employment status, and a summary of the defendant s prior criminal history for offenses other that those which would automatically exclude him/her but which may be helpful in determining suitability for the Drug Court Program. Consideration of risk assessment factors is discretionary and is used by the Drug Court Judge on a case-by-case basis. B. Final determination on the admission of a defendant to the Drug Court Program will be made by the Drug Court Judge based on recommendations from the Deputy District Attorney, Deputy Public Defender, and the treatment team. C. The treatment team assists the Drug Court Judge in determining ongoing participant suitability through additional periodic risk/needs assessing. This will assist in monitoring progress, identifying relapse cues and changing the drug treatment plan as necessary. STANDARD 412. CHARACTERISTICS OF SUITABILITY Characteristics defining suitability of Drug Court participants include but are not limited to the following: Χ Must not present a danger to program staff and public safety. Χ Χ Must be willing to comply with the Probation terms and conditions of Drug Court. Must be capable of complying with Drug Court program requirements, including all requirements of the outpatient and residential treatment programs.
4-4 (Revised 5/03) Χ Must demonstrate a sincere willingness to comply with all Drug Court Program requirements, including all requirements of the outpatient and residential treatment programs. STANDARD 414. POLICE INFORMANTS Χ Χ Χ Χ A police informant is anyone who actively participates with a police agency in the investigation of any crime wherein the person aids, abets, facilitates, solicits, encourages, promotes or arranges the commission of any criminal offence, or who attempts any of the foregoing, without regard to whether the person receives any consideration for the police agency, the court or the prosecution in exchange for the person s efforts. Because the purpose of the Drug Court is, as much as possible, to remove participants from the drug culture environment, and because police informants in drug investigations must, of necessity, associate with individuals who are within the drug culture environment, the purpose and goals of the two are inconsistent. It is difficult enough for a Drug Court participant to remain free from drugs when living in a drug free environment. By being placed in an environment where drugs are prevalent, the Drug Court participant s potential for successfully completing Drug Court is dramatically reduced. Hence, if an individual chooses to participate in Drug Court, he or she is not to act as a police informant. It is the responsibility of the applicant fir Drug Court to inform the Drug Court screener of the applicant s role as a police informant. Any person who becomes a police informant after he/she has been accepted into the Drug Court Program shall be terminated from the program with his/her terms and conditions of probation. A citizen Informant is any person, other than a police informant, who assists or provides information to a police agency. Citizen informants would include persons who have fortuitously witnessed a crime or acquired information about a possible crime, or who cooperates with the police out of sense of civic duty and good citizenship. Drug Court seeks to foster good citizenship, and therefore encourages its participants to cooperate with the police whenever possible.
4-5 (Revised 5/03) DIVISION 5 THE COURTROOM Standard Effective Revised CHAPTER 1. SPECIALIZED COURTROOM 500. Establishment of a Specialized Courtroom 06/01/97 05/03 CHAPTER 2. ADMINISTRATIVE PROCEDURE 510. Court Administrative Responsibility 06/01/97 512. Document Confidentiality 06/01/97
5-1 (Revised 5/03)
Chapter 1 Specialized Courtroom STANDARD 500. ESTABLISHMENT OF A SPECIALIZED COURTROOM The Court recognizes the Drug Court calendar as a priority and will establish a specialized, separate court, dedicated to the evaluation, treatment, and supervision of eligible and suitable Drug Court participants at each justice center. 5-2 (Revised 5/03)
Chapter 2 Administrative Procedure STANDARD 510. COURT ADMINISTRATION RESPONSIBILITY Court Administration will keep the Drug Court Judge aware of administrative procedures that affect Drug Court operations, and ensure that Drug Court cases are processed within the established time lines and guidelines. A. Drug Court sessions include the admittance and orientation of new participants into the program, and progress reports on the participants previously admitted. B. The Courtroom Clerk provides clerical support for the operation of the Drug Court and processes all Drug Court cases as priority. This support includes the timely preparation of court files, Drug Court eligibility roster courtroom calendars, and required entries into the automated data collection system. All docket entries and/or minute orders follow common practices and protocols. C. A representative of Court Administration will oversee all clerical and management aspects of the Drug Court and participate in all Committee meetings. STANDARD 512. DOCUMENT CONFIDENTIALITY All treatment related documents, including progress reports, test results, etc., will be placed in a confidential envelope in the court file. The envelope will be ordered sealed at conclusion of the Drug Court program. 5-3 (Revised 5/03)
DIVISION 6 PROGRAM FEES Standard Effective Revised CHAPTER 1. BASIS FOR FEES 600. Requirement of payment of fees 06/01/97 05/03 CHAPTER 2. COLLECTION 604. Collection Responsibility 06/01/97 6-1 (Revised 5/03)
Chapter 1 Basis for Fees STANDARD 600. REQUIREMENT OF PAYMENT OF FEES All Drug Court participants, will be required to pay fees as required by statute and/or ordered by the Drug Court Judge. No one will be denied treatment due to inability to pay. A. In that Drug Court participants are on formal probation, they will be required to pay the costs of probation supervision pursuant to Penal Code Section 1203.1b. B. A sliding scale fee for treatment will also be assessed by the Health Care Agency as well as any residential program a participant may enter. C. All fees must be paid prior to graduating from the program. 6-2 (Revised 5/03)
Chapter 2 Collection STANDARD 604. COLLECTION RESPONSIBILITY The Probation Department and HCA will utilize established administrative procedures to ensure collection of fees. 6-3 (Revised 5/03)
DIVISION 7 PROGRESSIVE RESPONSES Standard Effective Revised CHAPTER 1. INCENTIVES 700. Program Plan for Graduated Rewards 06/01/97 05/03 704. Graduation from Program/Dismissal of charges 06/01/97 05/03 CHAPTER 2. SANCTIONS 708. Program Plan for Graduated Sanctions 06/01/97 710. Terminated from Program for Failure to Comply 06/01/97 7-1 (Revised 5/03)
Chapter 1 Incentives STANDARD 700. PROGRAM PLAN FOR GRADUATED REWARDS The Drug Court program will include a plan for graduated rewards which may be applied by the Drug Court Judge as an immediate and direct response to incremental success in program compliance. The Drug Court Judge, with input from the treatment team, will employ the following graduated rewards to encourage progress and program compliance: Encouragement and praise from the bench; and Ceremonies and tokens of progress, including advancement to the next treatment phase. STANDARD 704. GRADUATION FROM PROGRAM/DISMISSAL OF CHARGES Graduation from the Drug Court Program will require that all phase III participants submit an application for graduation. A committee of drug court staff will review the application and make the determination as to the participant s qualification for graduation. At the time of graduation the court dismisses the drug charges that the participant previously pled guilty to. 7-2 (Revised 5/03)
Chapter 2 Sanctions STANDARD 708. PROGRAM PLAN FOR GRADUATED SANCTIONS The Drug Court program will include a plan for graduated sanctions which may be applied as an immediate and direct consequence of failure to comply with program requirements. The Drug Court Judge, with input from the treatment team, will employ the following graduated treatment interventions to assist participants in complying with the program: Admonishment from the court Writing an essay on a topic selected by the court Increased frequency of court appearances Increased frequency of random drug testing Increased participation in individual and/or group counseling Completion of community service hours Increased frequency of self-help meeting attendance Demotion to an earlier program phase Placement in a residential treatment facility Brief periods of incarceration with treatment Formal probation violation STANDARD 710. TERMINATION FROM PROGRAM FOR FAILURE TO COMPLY Participants may be terminated from the Drug Court Program for willful failure to comply with the terms and conditions of probation, including any treatment plan imposed by the court through the Drug Court Treatment Team. In ordering a participant s termination from the Drug Court Program, the court should consider such factors as, but not limited to, the following: the nature of the violation, the duration the participant has been in the program, the number of previous 7-3 (Revised 5/03)
violations, the participant s criminal history, whether the participant s substance abuse can be abated within the time limitations set by the program, the participant s desire to achieve sobriety as evidenced by the nature and quality of prior positive steps to maintain sobriety, and whether the nature of the violation would have initially precluded the participant from being accepted into the program. On the recommendation of the treatment team, the Drug Court Judge may remove a participant from the program and impose the suspended sentence. Notwithstanding the above, any participant committing the following crimes shall be terminated from the program: Any serious or violent felony (Penal Code Sections 667.5 and 1192.7); Any felony of the commission of which involves a deadly or dangerous weapon; Any crime involving the sale, possession for sale, transportation for sale, distribution, packaging or manufacturing of any narcotic or controlled substance; Penal Code Section 647(b) if the participant is in the role of the prostitute or offers or tenders any controlled substance as consideration for the sex act; Pimping or pandering (Penal Code Sections 266h and 266i); Any violation of Penal Code Sections 243.4, 273a, 273d, 273.5, 273.6, and 647.6; Possession of a firearm; Any violation of Vehicle Code Sections 23152, 23153, or 192(c); The attempted commission of any of the above listed offenses. All parties have the same rights as pertain to any probation violation in determining whether a participant shall be terminated from the program. 7-4 (Revised 5/03)
DIVISION 8 DATA COLLECTION AND PROGRAM EVALUATION Standard Effective Revised CHAPTER 1. AUTOMATION OF INFORMATION 800. Court Administration Responsibility 06/01/97 802. Requirements for Automated Data Collection and Formal Evaluations 06/01/97 804. The Drug Court Data System Design 06/01/97 8-1 (Revised 5/03)
Chapter 1 Automation of Information STANDARD 800. COURT ADMINISTRATION RESPONSIBILITY Court administration will facilitate collection of and maintain the statistical data for the program. Management of information will monitor daily activities, evaluate quality of service provided, and produce outcome evaluations. Program evaluation activities will be part of the ongoing process. STANDARD 802. REQUIREMENTS FOR AUTOMATED DATA COLLECTION AND FORMAL EVALUATION All Drug Courts will establish a coordinated, automated data collection and a formal program evaluation process which will conform to countywide requirements as established by the Drug Court Oversight Committee. STANDARD 804. THE DRUG COURT DATA SYSTEM DESIGN The design of the Drug Court data base system will include: Maximum utilization of existing countywide justice information systems and systems interfaces; Maximum utilization of existing county data communication networks; Minimum reliance on manual data entry and report generation to reduce redundancy and errors; Safeguards to ensure data integrity for all affected systems; and Safeguards to ensure privacy and security of all records. 8-2 (Revised 5/03)
DIVISION 9 TREATMENT AND MONITORING Standard Effective Revised CHAPTER 1. TREATMENT TEAM 900. Treatment Team Members and Approved Drug Treatment Facilities 06/01/97 05/03 902. Staff Liaisons to the Drug Court 06/01/97 904. Summary Progress Reports 06/01/97 906. Maintaining Confidentiality 06/01/97 908. Ancillary Services 06/01/97 CHAPTER 2. COMPREHENSIVE AND INTEGRATED SERVICES 910. Appropriate Treatment Programs 06/01/97 CHAPTER 3. DRUG TESTING 920. Drug Testing Results 06/01/97 922. Urinalysis 06/01/97 924. Pharmchem Drug Patch 10/19/98 05/03 CHAPTER 4. TREATMENT PLAN 930. Co-Occurring Problems to be Considered in Treatment Plan 06/01/97 932. Long term Residential Programs 06/01/97 05/03 934. Individualized Outpatient Treatment Plans 06/01/97 936. Distinct Phases of Treatment 04/01/98 05/03 938. Advancement Determination 06/01/97 940. Length of Treatment Program 06/01/97 05/03 9-1 (Revised 5/03)
Chapter 1 Treatment Team STANDARD 900. TREATMENT TEAM MEMBERS AND APPROVED DRUG TREATMENT FACILITIES The Drug Court treatment team consists of the Probation Department and the Health Care Agency working in a collaborative effort. Only established drug treatment facilities which are licensed and/or certified by the State, and are approved by the Probation Department of the County of Orange for drug treatment services, will be utilized. Sober Living Homes will be used for placement if they have been certified by and are currently in compliance with the Orange County Sober Living Home Certification Program. STANDARD 902. STAFF LIAISONS TO THE DRUG COURT The Probation Department and the Health Care Agency will designate specific staff and alternates to serve as liaisons to the Drug Court and to ATTEND ALL Drug Court Sessions. STANDARD 904. SUMMARY PROGRESS REPORTS Prior to each Drug Court appearance, the treatment team will prepare and submit to the Court a summary progress report which documents drug test results, compliance with treatment appointments and any relevant case information which can appropriately shared with the Judge in open court. (See Appendix H) STANDARD 906. MAINTAINING CONFIDENTIALITY The treatment team will maintain confidentiality of all client information in accordance with 42 CFR, Part 2, Confidentiality of Alcohol and Drug Abuse Patient Records, and section 10075 through section 11080 of the California Penal Code, Criminal Record Dissemination, and Security Clearance Act of 1985 (Public Law 99-169 Statute 1009, H.R. 2419). STANDARD 908. ANCILLARY SERVICES The treatment team in collaboration with the Drug Court Judge, will assist participants through providing referrals to meet needs such as housing, education, vocational training, and job placement. 9-2 (Revised 5/03)
Chapter 2 Comprehensive and Integrated Services STANDARD 910. APPROPRIATE TREATMENT PROGRAMS All Drug Court participants will be offered a comprehensive and integrated program of drug treatment and rehabilitation services to be supervised by the Drug Court Judge. 9-3 (Revised 5/03)
Chapter 3 Drug Testing STANDARD 920. DRUG TEST RESULTS Drug test results will be used to assist the court and treatment team in evaluating the participant s progress in the Drug Court program. The results will be used to determine: if the participant is progressing satisfactorily; if the treatment plan needs to be modified; and if the participant will be terminated or graduated from the program. STANDARD 922. URINALYSIS Drug testing will initially be at a minimum of three times per week and will decrease at the discretion of the Probation Department and the Health Care Agency staff based upon participant compliance and progress. STANDARD 924. PHARMCHEM DRUG PATCH The purpose of the use of the Pharmchem drug patch is to establish a procedure by which the Drug Court team can impose sanctions upon the probationer with positive test results. The general procedure is as follows: A. The application of the patch on a probationer is: 1. Upon the discretion of the Drug Court team. 2. When the probationer requests permission to go out of town. B. The indication of substance abuse: 1. Lab results indicate to be positive. 2. Patch appears to have been tampered. 3. The probationer brings patch to Deputy Probation Officer stating, it fell off. 9-4 (Revised 5/03)
C. Acceptable nanogram levels to be used by the Drug Court team: 1. MJ 0.5 ng 2. Opiates 10 ng 3. Cocaine 10 ng 4. PCP 10 ng 5. Amphetamine & Methamphetamine (together) 10 ng 6. Methamphetamine (alone) 10 ng 7. Amphetamine (alone) 10 ng D. Probation Violation: Any other level below the above are to be traced as negative results, unless the probationer admits to substance abuse. Upon receiving results below nanogram levels urine testing and additional patch use shall be enforced. The probationer is not to be advised of nanogram number on positive patch results. If he/she inquires, advise that due to policy change that information is no longer available. If the probationer denies substance abuse after a positive result has been received by lab, no possible explanations are to be suggested by any Drug Court team member. 1. Positive patch result alone will not be used against the probationer to sustain a probation violation. E. Using the patch as a sanction 1. If the probationer is sanctioned by the Drug Court team to wear the patch, then the probationer will be referred to an outside provider and cost of the patch will be paid by the probationer. 9-5 (Revised 5/03)
Chapter 4 Treatment Plan STANDARD 930. CO-OCCURRING PROBLEMS TO BE CONSIDERED IN TREATMENT PLAN The treatment plan will consider co-occurring problems to maximize the opportunity of the participant s success. Treatment must also be culturally relevant to the participant s background. STANDARD 932. LONG TERM RESIDENTIAL PROGRAM Participants in long term residential programs will satisfactorily complete the phases prescribed by those programs to successfully fulfill the Drug Court Program requirements for graduation. A participant may advance through Phase III of Drug Court while in a residential program. STANDARD 934. INDIVIDUALIZED OUTPATIENT TREATMENT PLANS Individualized treatment plans for outpatient participants will consist of five distinct phases, each of which have specified treatment objectives, therapeutic and rehabilitative activities and requirements for graduation. STANDARD 936. DISTINCT PHASES OF TREATMENT Establish minimum program elements for each treatment phase that include but are not limited to: A. Orientation - Indoctrination, assessment, and assimilation Length: A minimum of 30 days During orientation, there is a 14-day window period in which the participant may withdraw his/her plea or be denied acceptance into the Drug Court program. The participant will be assigned to a Probation Officer and a Health Care Counselor who will provide an overview of the program. The participant s needs will be assessed addressed by this treatment team. Progress will be closely monitored by the treatment team and reported to the Judge. Phase requirements include: 1. A minimum of one individual and one group session per week with HCA 9-6 (Revised 5/03)
2. Drug testing three times per week minimum (Drug test patch and instant read test cups to be used at treatment team s discretion) 3. Attendance at five to seven self-help meetings per week 4. Report to the probation officer once weekly 5. Additional case management services as determined by the treatment team (Detoxification, employment search, psychiatric and/or psychological evaluation) 6. Weekly or bi-weekly court appearances as determined by the Drug Court Judge 7. Curfew at discretion of the court Advancement Criteria: No positive drug test results (including missed or tampered tests) for 30 consecutive days No unexcused absences from scheduled services for 14 consecutive days Documentation of required minimum attendance at self help meetings for one month Acknowledgment of extent of substance abuse problem and a commitment to live in an alcohol and drug free lifestyle Submittal of a written Phase I advancement request (Appendix I) and completion of the orientation test. (Appendix J) B. Phase I - Treatment Plan Development Length: minimum of 90 days In Phase I a treatment plan will be developed between the participant and the assigned HCA counselor. Phase I requirements include: 1. One individual and one group therapy session weekly 2. Drug testing three times per week minimum (drug test patches and immediate result drug tests to be used at the treatment team s discretion.) 3. Regular attendance at self help meetings (minimum four per week) and actively seek a sponsor 9-7 (Revised 5/03)
4. Report to the Probation Department weekly 5. Clean and sober recreation/fellowship 6. Additional case management services as determined by the treatment team (detoxification, residential treatment, mental health services, employment search, etc.) 7. Formulate personal program goals in conjunction with the treatment team (GED, Vocational Education counseling, psychotherapy, exercise, anger management, parenting skills, etc.) 8. Weekly or biweekly court appearances as determined by the Drug Court Judge 9. Curfew at discretion of court Advancement criteria: No positive drug test results (including missed or tampered tests) for 90 consecutive days No unexcused absences from scheduled services for 21 consecutive days Employed or actively pursuing vocational/educational goals Documented minimum required attendance at self help meetings for a minimum of 90 days Must have a sponsor Demonstration of a positive adjustment to treatment Submittal of a written Phase II advancement request (Appendix K) C. Phase II - Ongoing treatment Length: a minimum of 90 days In Phase II, the treatment plan will be updated by the counselor to identify treatment goals and objectives. Counseling and meetings will focus on areas that are challenging for the participant and identify ways of coping with stressful situations. Phase II requirements include: 1. One or more group therapy sessions weekly and individual sessions as determined by the treatment counselor 9-8 (Revised 5/03)
2. Drug testing two times per week minimum (drug test patch and immediate result drug tests to be used at treatment team s discretion) 3. Regular attendance at self help meetings (minimum three per week), maintain a sponsor and work the self help program 4. Report to Probation Department weekly or as instructed 5. Clean and sober Recreation/fellowship 6. Additional case management services as determined by the treatment team 7. Ongoing review and updating of a treatment plan 8. Employment and/or educational goal setting 9. Biweekly or monthly court appearances as determined by the Drug Court Judge 10. Curfew at discretion of court Advancement criteria: No positive drug test results (including missed or tampered tests) for 90 consecutive days No unexcused absences from scheduled services and/or activities for 30 consecutive days Employed or actively pursuing vocational and/or educational goals Continued documented attendance at no fewer than three self help meetings per week and with a sponsor for a minimum of 90 days Verbal expression of understanding of self help concepts Demonstrated positive adjustment to treatment Progress toward treatment plan goals Submittal of a written Phase III advancement request (Appendix L) 9-9 (Revised 5/03)
D. Phase III - Stabilization/Mentoring Length: A minimum of 120 days Phase III addresses the ongoing recovery needs including maintaining total abstinence from all drugs. The focus is on daily living skills. This phase is designed to support the participant in his/her return to the community as a productive and responsible member. Phase III requirements include: 1. One or more group therapy sessions per week and individual sessions as determined by the treatment counselor 2. Drug testing one time per week or as directed (drug test patch and immediate result drug tests to be used at treatment team s discretion) 3. Attendance at self help meetings (at least two per week) and maintaining a sponsor 4. Report to Probation Department as instructed 5. Clean and sober recreation/fellowship 6. Other case management services as determined necessary by the treatment team 7. Ongoing review and updating of a treatment plan 8. Maintaining full-time employment and/or progress toward an educational goal 9. Monthly court appearances 10. Become a mentor to a new Drug Court participant approved by your treatment team 11. Participation in community service as determined by the Drug Court Team (minimum of eight hours) 12. Curfew at the discretion of court Advancement criteria: Acceptable level of sobriety (to include no positive drug test results, including missed or tampered tests, for 90 consecutive days) as determined by the treatment team No unexcused absences from scheduled services and/or activities for 30 consecutive days o (Revised 5/03)
Employed or actively pursuing vocational/academic training program as determined by the treatment team Continued documentation of required attendance at no fewer than two self help meetings each week Progress towards treatment plan goals Significant progress toward completion of GED/diploma or ESL program at the discretion of the court Verbal expression of understanding of self help concepts Demonstrated positive adjustment to treatment Submittal of a written Phase IV advancement request (Appendix M) E. Phase IV Achievement/Graduation Length: a minimum of 120 days Phase IV helps drug court participants successfully transition from a lifestyle within the drug court structure to a lifestyle more representative of what participants will experience following graduation. 1. Attend a Phase IV group twice per month, an individual counseling session with your primary therapist once per month, and, in the final month of the program, only one group counseling session and one final individual counseling session to complete an exit plan. 2. Drug tests conducted on a random basis only with a minimum of two tests per month and additional tests as determined by the treatment team. 3. Self help meetings not required, but strongly encouraged 4. Report to Probation Department once per month. 5. Clean and sober recreation/fellowship 6. Other case management services as determined necessary by the treatment team 7. Ongoing review and updating of a treatment plan 9-10 (Revised 5/03)
8. Maintaining full time employment and/or actively pursing vocational/educational goals 9. Participants are required to appear in court for progress reviews on an average of once every six weeks 10.. Continue established mentoring relationship(s). 11. Preparation of personal graduation application (Appendix N) and speech for graduation Graduation criteria: Acceptable level of sobriety (to include no positive drug tests, including missed and tampered tests, for a minimum of 180 consecutive days) as determined by the treatment team Obtained gainful, consistent employment or sufficiently involved in a vocational/educational training program as determined by the treatment team Maintained consistent attendance at all court appearances and treatment team appointments No unexcused absences from scheduled services for 45 consecutive days Achieved stable living arrangements and healthy interpersonal relationships as determined by the treatment team Achieved an understanding of personal problems of addiction, criminal behavior, and relapse prevention as demonstrated through a written graduation application Definitive aftercare plan which may include self help meetings, HCA outpatient counseling, or group attendance at former contract residential program, active participation in Drug Court Alumni Association Fulfillment of goals as stated in the individual s treatment plan or positive progress toward appropriate long term life goals Proof of completion of required community service hours Proof of attendance at all other events or courses as required by the Drug Court Judge Proof of completion of GED/diploma or an approved equivalent program as required by the Drug Court Judge 9-12 (Revised 5/03) STANDARD 938. ADVANCEMENT DETERMINATION
Advancement from each phase will be determined by the Drug Court Judge upon recommendation of the treatment team, and the condition that the participant has satisfied the established minimum criteria. STANDARD 940. LENGTH OF TREATMENT PROGRAM The actual length of a treatment program for each participant will vary depending on individual progress and drug test results. In any drug court not operating at full capacity (measured in increments of 50 participants) a participant shall not be eligible for graduation unless he or she has completed a minimum of 18 months participation in drug court by the graduation date (including Phase IV). 9-13 (Revised 5/03)
DIVISION 10 ROLE OF THE JUDGE Standard Effective Revised CHAPTER 1. FOCUS AND DIRECTION OF PROGRAM 1000. Leadership 06/01/97 1002. Courtroom Non-Adversarial Atmosphere 06/01/97 CHAPTER 2. PROGRAM ADVOCACY 1010. Representation of Program 06/01/97 1012. Facilitation of Staff Participation 06/01/97 1014. Partnerships with Participating Agencies 06/01/97 1016. Participating Motivation 06/01/97 1018. Court Proceedings 06/01/97 10-1 (Revised 5/03)
Chapter 1 Focus and Direction of Program STANDARD 1000. LEADERSHIP The focus and direction of the Drug Court program are provided through the effective leadership of the Drug Court Judge. STANDARD 1002. COURTROOM NON-ADVERSARIAL ATMOSPHERE The Judge will be responsible for maintaining a non-adversarial atmosphere in the Drug Court. All staff must see their primary responsibility as the facilitation of the participant s rehabilitation. 10-2 (Revised 5/03)
Chapter 2 Program Advocacy STANDARD 1010. REPRESENTATION OF PROGRAM The Drug Court Judge must be willing to serve as the program advocate and represent the program in the community, before government and criminal justice agencies and other forums and be willing to seek funding for the program. STANDARD 1012. FACILITATION OF STAFF PARTICIPATION To encourage full commitment to the success of the Drug Court Program, the Judge allows program staff to participate fully in the design and implementation of the program. STANDARD 1014. PARTNERSHIPS WITH PARTICIPATING AGENCIES The Judge will form a partnership with the District Attorney, Public Defender, Law Enforcement and the treatment team, which allow collaboration in decision making, sharing of resources and coordination of efforts. STANDARD 1016. PARTICIPANT MOTIVATION The Judge will be one of the key motivational factors in convincing the participant to achieve rehabilitation. Less formal and more frequent court appearances must be scheduled to allow the Judge to motivate and monitor the participants. STANDARD 1018. COURT PROCEEDINGS The Judge will conduct court proceedings such that all participants benefit by observation of others as they progress (or fail to progress) in treatment and the Court takes appropriate action. 10-3 (Revised 5/03)