City of Lackawanna DRUG COURT POLICY AND PROCEDURE MANUAL

ESTABLISHED 1/96 BY Honorable Frederic Marrano

Revised 9/04

TABLE OF CONTENTS

TABLE OF CONTENTS…………………………………………………………………….

FORWARD…………………………………………………………………………………..

INTRODUCTION……………………………………………………………………………

I. CURRENT ELIGIBLITY STANDARDS…………………………………………..II.III. SUITABILITY STANDARDS……………………………………………………….IV.III. DRUG COURT OPERATIONS…………………………………………………….IV.

A. All Involved AgenciesB. Intake/ReferralC. The CourtroomD. Program FeesE. Progressive SanctionsF. Data Collection & Program Evaluation

I. TREATMENT……………………………………………………………………….. II.

A. The Treatment ProgramB. The Treatment Provider

I. ROLE OF THE JUDGE…………………………………………………………….

APPENDICES……………………………………………………………………………….

Appendix A Drug Court Docket/Case ProcessingAppendix B Drug Court Policy re: Urine Results and Statements

FORWARD

The purpose of the following document is to provide a general framework of common principles, policies andpractices for the Lackawanna Treatment Court (LTC). This structure of standards and practices will:

Maximize limited resources and ensure greater coordination among all court-supervised drug treatmentprograms throughout Erie and Niagara Counties;

Maximize coordination and sharing of scarce treatment resources;

Strengthen efforts to obtain Federal funding;

Facilitate development of coordinated long-range plans for financing drug court operations; and

Implement Ten Key Components of a successful Drug court as written by OJP/DCPO.

Developed through a consensus of involved countywide agencies, the standards include all of the elements that areconsidered essential to the operation of a Drug Court Program in Erie and Niagara Counties. Collectively, theyrepresent a required minimum program model. Specific practices are also described to provide examples of action,which should be taken to ensure conformity with country wide standards. The standards and practices described inthis document is the product of over two years of experience in planning and implementing the city’s first DrugCourt Program, which began operation in 1/96.

Clearly, there are and will continue to be differences between individual Drug Court Programs. All programs areintended to reflect the unique needs and operational environments of the local court jurisdictions. However, it isalso clear that there is a need for overall uniformity as to basic program components and operational proceduresand principles. Therefore, this document is an attempt to outline those fundamental standards and practices towhich all Drug Court Programs in the Eighth Judicial District should subscribe.

INTRODUCTION

A Drug Court is a court that has been specifically designed and staffed to supervise non-violent drug

dependent 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, the Drug Court concept has receivedwidespread attention as an effective treatment strategy for drug-involved criminal offenders. Drug Courts represent a very non-traditional approach to criminal offenders who are addicted to drugs. Ratherthan focusing only on the crimes they commit and the punishments they receive, Drug Court also attempts to solvesome of their underlying problems.

Drug Courts are built upon a unique partnership between the criminal justice system and drug treatmentcommunity, one that structures treatment intervention around the authority and personal involvement of a singleDrug Court Judge. Drug Courts are also dependent upon the creation of a non-adversarial courtroom atmospherewhere a single judge and a dedicated team of court officers and staff work together toward a common goal ofbreaking the cycle of drug abuse and criminal behavior.

Because of the unique problems and opportunities that present themselves in working with drug-involved criminaldefendants, treatment and rehabilitation strategies must be “reality-based.” Drug Court programs must thereforerecognize that:

Addicts are most vulnerable to successful intervention when they are in the crisis of initial arrest andincarceration, so intervention must be immediate and upfront.

Preventing gaps in communication and ensuring offender accountability are of critical importance, so courtsupervision must be coordinated and comprehensive.

Addiction to drugs is a long-standing, debilitating condition, so treatment must be long-term and comprehensive.

Addiction to drugs seldom exists in isolation from other serious problems, which undermine rehabilitation, sotreatment must include integration of other available services and resources such as educational assessments,vocational assessments and training and job placement.

Relapse and intermittent progress are part of the recovery process, so progressive sanctions and incentivesmust be integral to the Drug Court treatment strategy.

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 re-arrest;

Reduce jail overcrowding;

Introduce participants to an ongoing process of recovery designed to achieve total abstinence from illicit/illegaldrugs; and

Promote self-sufficiency and empower substance abusers to become productive and responsible members ofthe community.

I. CURRENT ELIGIBILITY STANDARDS

Standard: Consideration for admission to the Drug Court Program shall be limited to those defendants who:

Have been arrested and charged with

a. Misdemeanor and/or felony drug possession. Felony offenses considered are those for criminal possession ofa controlled substance in the third degree, in violation of section 220.16-1 of the NYS penal law, where theamount seized is less than 300 milligrams; and criminal possession of a controlled substance in the fifthdegree, in violation of section 220.06-5 of the penal law, where the amount seized is less than 1000milligrams. Misdemeanor offenses that may be included for participation are to include drug-related petitlarceny, prostitution, trespass and other forms of theft related offenses.

b. Do not qualify under the above, but are deemed suitable by the drug court team as appropriate for courtmonitored treatment.

Have violated probation on prior conviction(s) of the NYS penal law.

Practices:

1. Defendants with a prior conviction for a violent offense, and/or a current charge of a violent offense, and/ordrug trafficking/sales are ineligible.

2. The admission of a defendant to the Drug Court Program shall be made by the Drug Court Judge only. This determination shall bemade based on recommendations from the District Attorney, Public Defender, Drug Court Coordinator and the TreatmentCounselor.

II. SUITABILITY STANDARDS

Standard: LTC Treatment staff shall assist the Drug Court Judge in determining the overall suitability of defendants for the program by completing a standardized Drug Court Screening for eligible defendants

Practices:

1. Risk assessment factors contributing to admission to the Drug Court Program include family and communityties, employment status, and a summary of the defendant’s prior criminal history for offenses other thanthose which would “automatically” exclude him/her but which may be helpful in determining suitability forthe Drug Court Program. Consideration of risk assessment factors is discretionary and shall be used by theDrug Court Judge on a case-by-case basis.

Standard: The Drug Court Treatment Staff under the supervision of the Drug Court Coordinator shallassist the Drug Court judge in determining the overall suitability of defendants for theprogram by interviewing eligible defendants and summarizing any background and/or drughistory information which may bear on the individual’s potential for success in the intensivedrug court treatment program

Standard: Defendants currently on methadone maintenance shall be considered unsuitable candidatesfor the program, since a principle goal of Drug Court is to help defendants achieve andmaintain a drug free lifestyle. Individuals who are prescribed methadone as a means ofdetoxification shall be considered on a case by case basis.

I. DRUG COURT OPERATIIONS

A. ALL INVOLVED AGENCIES

Standard: All agencies will cooperate with efforts to establish qualified Drug Court programs which meet the standards for operating and administering a Drug Court

Standard: Each agency shall assign staff, and alternates, to be dedicated to the Drug Court based on personal interest in the program, interpersonal skills, motivation, and professional abilities

Standard: All agencies agree to provide orientation and mandatory training for assigned staff in the Drug Court concept and the day-to-day operation

Standard: All the participating agencies agree to support qualified Drug Court

Programs by making appropriate adjustments to internal policies, practices, and procedures to ensure successful day-to-day operations of the program.

Practices:

1. The sponsoring municipal court, the District Attorney, Public Defender, local law enforcement, Sheriff, NYSOASAS, and the Eighth Judicial District office will, where appropriate:

a. Provide administrative support for the development and compliance with agency-wide, uniform policies andprocedures for all Drug Court operations

b. Encourage agency-wide communication and cooperation between dedicated Drug Court personnel

c. Develop agency-wide procedures to collect and maintain statistical and evaluation information based upon countywide standards

d. Establish a jurisdictional Memorandum of Understanding (MOU), based on the established countywide MOU, with allagencies/departments to ensure the continuity of all legal policies and other standards necessary to the operation of Drug Court.

A. INTAKE/REFERRAL

Standard: Defendants in custody will be referred to drug court within the statutory time frame required for arraignment

Practices:

1. The Court coordinator and/or court staff will ensure that the appropriate parties are involved with the timelyassessment of the Drug Court candidates prior to Drug Court referral

2. The Court coordinator and/or court staff will provide a packet to the Drug Court Judge of all essential documents including:

Pretrial Eligibility Assessment

Treatment Suitability Assessment

Case file (Original or facsimile copies)

3. If accepted, defendants will be sent immediately to the treatment center/ program where orientation will begin

Standard: At the discretion of the Drug Court Judge, formal admission into theprogram may be deferred subject to successful completion of a 2-week“Trial Period”

Practices:

1. In order to “pass” the 2-week trial phase, the Drug Court Judge will advise the defendant that he/she must:

a. Attend initial program orientation

b. Attend scheduled treatment sessions

c. Comply with all drug testing requirements

d. Return to court as orderede. Attend special monitoring, as ordered by the court and facilitated by TASC and/or Probation.f. Verify attendance at Self-help at the frequency the court orders.

A. THE COURTROOM

Standard: The court recognizes the drug court calendar as a priority and willestablish a specialized, separate court, on a part or full time basis,dedicated to the evaluation, treatment and supervision of eligible andsuitable drug court defendants

Standard: The Drug Court clerk, as an agent of the Judge and the Court Coordinator, shall keep the Drug Courtoperations separate, ensure that all Drug Court cases are processed in an efficient manner and gatherdaily statistics to document the success or failure of the Drug Court.

Practices:

1. Drug Court sessions will include the admittance and orientation of new participants into the Program inconjunction with progress reports of defendants previously admitted.

2. The Clerk’s Office will provide clerical support for the operation of the Drug Court and process all Drug Court cases as priority. Clerical support will include the timely preparation of court files, Drug Court eligibility roster, courtroom calendars, computerentries and collection of data to document the success or failure of Drug Court. All docket/case processing shall follow commonpractices and protocols. (See Appendix A).

3. A Court Administrator/Chief Clerk, necessary to the overall operation of the Drug Court, may be designated to oversee all clericaland management aspects of the Drug Court and participate in all Committee meetings.

Standard: Pursuant to the written policies of the Public Defender and District Attorney, urinalysis results shall only be used to evaluate the participant’s progress in the Drug Court Program. (See Appendix BFor policy).

Standard: Pursuant to the written policies of the Public Defender and District Attorney, statements made by Drug Court participants shall not beused in subsequent adversarial proceedings. (See Appendix B forpolicy).

Standard: All treatment related documents, including progress reports, test results, etc. shall be placed in a confidential envelope. Envelopeshall be ordered sealed at conclusion of Drug Court Program.

A. PROGRAM FEES

Standard: All drug court participants are required to access any and all forms of insurance. Thisinsurance may include public benefits made available to the defendant in their county oforigin/residence.

Practices:

1. The treatment provider, in collaboration with the Drug Court Judge and program coordinator, will establishadministrative and bookkeeping procedures to ensure collection of fees and regular reports to the Court.

2. Full payment of the fee must be satisfied prior to graduation unless waived by the Drug Court Judge.

A. PROGRESSIVE SANCTIONS

Standard: The Drug Court program must include a plan for graduated sanctions which may be applied as an immediate and directconsequence of program failure.

Practices:

The Drug Court Judge, at his discretion, may employ the following graduated sanctions to assistdefendants in complying with the program:

Increased drug testing

Increased participation in outpatient individual and/or group sessions

Increased frequency of court appearances before the Drug Court Judge

Commitment to community residential treatment for a specified period of time

Detention for a brief period of time to be determined by the Drug Court Judge

A. DATA COLLECTION & PROGRAM EVALUATION

Standard: LTC shall utilize a automated data collection and program evaluation process which will conform torequirements as established by the Drug Court Oversight Subcommittee and the standards set forth byOJP/DCPO. The system to be utilized is the UTA.

Standard: The Drug Court Program shall utilize a competitively bid Drug Court Evaluator who will assist in thecollection of and maintain the statistical data for the program, and provide ongoing progress reports asrequested.

Practices:

The design of Drug Court data base systems shall include:

Maximum utilization of existing countywide justice information systems and system 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

Safeguards to ensure privacy and security of all records

Standard: The LTC, following program start-up, shall recognize a 6-month “Demonstrationperiod” for statistical purposes, during which time data collection efforts shall focus ondefining the participant population and identifying critical operational issues.

Practices:

A 6-month demonstration period shall be established to:

Identify implementation issues

Make adjustments to program operations and policies

Establish and “fine tune” all of the needed program components

Establish management information procedures

Establish problem solving procedures to address unanticipated developments

I. TREATMENT

A. THE TREATMENT PROGRAM

Standard: All Drug Court participants shall be offered a comprehensive and integrated program of drug treatment and rehabilitation services tobe supervised by the Drug Court Judge.

Standard: Individualized treatment plans for participants shall consist of several distinct phases, each of which shall have specified treatment objectives,therapeutic and rehabilitative activities and requirements for“Graduation”.

Practices:

Establish minimum program elements for each treatment phase that include but are not limited to:

a. Phase One – Stabilization, Orientation and Assessment

i. Orientation/Overview of Program

ii. Assessment and initial treatment plan development

iii. Individual and group counseling sessions

iv. Regular attendance at Self-help meetings (3 per week or as specified by counselor)

v. Urinalysis testing (2 tests per week minimum)

vi. Recreation fellowship

vii. Advancement criteria:

a.) No positive urinalysis results after clean result for a two week period;

b.) No unexcused absences from scheduled services for a two week period; and

c.) Employed or positive response to vocational/educational goals

d.) If applicable, full compliance with all community residence rules.

viii. Average completion period – 2 to 8 weeks

a. Phase Two – Intensive Treatment

i. Individual and group counseling

ii. Emphasis placed on vocational/educational counseling and referral

iii. Urinalysis testing (2 times per week minimum)

iv. On-going review and updating of treatment/transition plans

v. Continued attendance at Self-help meetings (2 times per week or as specified by counselor)

vi. Recreation/fellowship

vii. Advancement criteria:

a.) No positive urinalysis results since clean date for 60 consecutive days;

b.) No unexcused absences from urinalysis testing for 60 consecutive days;

c.) No unexcused absences from scheduled services ;

d.) Employed or positive response to vocational/educational goals, and

e.)Demonstrated adjustment to treatment

viii. Average completion period – 12 to 16 weeks

a. Phase Three – Transition

i. Individual and group counseling

ii. On-going review and updating of treatment/transition plans

iii. Urinalysis testing (1 time per week, as well as random)

iv. Continued attendance at Self-help meetings (2 per week or asspecified by counselor)

v. Recreation/fellowship

vi. Greater emphasis on the progress of vocational/educational plans

vii. Advancement criteria:

a.) No positive urinalysis results;

b.) No unexcused absences from urinalysis testing;

c.) No unexcused absences from scheduled services;

d.) Employed or positive response to vocational/educational goals; and

e.) Fulfillment of goals as stated in individual’s master treatment plan.

viii. Average Completion period – 12 to 16 weeks

Standard: “Graduation” from each phase shall ONLY be determined by the Drug Court Judge and on the condition that the participant hassatisfied the established minimum criteria for advancement

Standard: Although actual length of treatment program for each participant will vary greatly depending upon individual progress and drug testresults, the total period for treatment and court supervision SHALLNOT BE LESS THAN One (1) Year

Standard: Termination from the program shall ONLY be determined by theDrug Court Judge with appropriate input from the Court Coordinator, treatmentprovider, District Attorney and Public Defender.

A. THE TREATMENT PROVIDER

Standard: The Drug Court Program shall utilize only established drug treatment Agencies which are licensed and/or certified by the State.

Standard: The treatment provider shall designate a specific staff person – and a designated alternate – to serve as liaison to the Drug Court and toATTEND ALL Drug Court sessions

Standard: Prior to a judicial determination of acceptance into the Drug Court Program, the treatment team shall provide the court with awritten screening form verifying the “suitability” of the defendant for theprogram

Practices:

1. “Suitability” for the Drug Court Program should be limited to persons who:

a. Are willing to comply with the court order to drug treatment;

b. Are 18 years or older ( unless otherwise requested by parent and/or guardian);

c. Have a history of substance abuse;

d. Do not have a history of violence;

e. Are not acutely mentally ill or suicidal; and

f. Are able to physically participate in treatment activities (within guidelines of American Disabilities Act).

1. All involved agencies will cooperate with the treatment provider to ensure reasonable and timely access to incarcerated defendantsby the court liaison counselor to potential Drug Court participants.

Standard: Prior to completion of the initial phase of treatment, the treatment provider shallprepare an initial assessment and treatment plan for each Drug Court participant.

Standard: Prior to each Drug Court appearance, the treatment provider shall submit to the Court a summary progress report which documentsdrug test results, compliance with treatment appointments and anyrelevant case information which can be appropriately shared withthe Judge in open court.

Standard: The treatment provider shall maintain for each participant confidential case management documentation including, but not limited to; initialassessments and treatment plans, progress notes, services provided,attendance records and drug test results.

Standard: The treatment provider shall collaborate with the Drug Court Judge, District Attorney and Public Defender to develop and implement aplan for urinalysis drug testing of participants during specifiedmandatory visits to the treatment facility.

Practices:

The treatment provider shall:

a. Contract with a laboratory or conduct urine drug testing that meets the minimum standards for federal agencies.

b. Develop policies and procedures to ensure security and reasonable controls to deter tampering or misrepresentation of specimens ortest results.

c. Develop procedures to ensure that the participant is tested whenever there is a mandatory treatment center visit and that thefrequency of tests is appropriate for the treatment phase and in accordance with the orders of the Drug Court Judge.

d. Maintain and secure test result records for each defendant and develop a reporting format and procedure for presenting testingresults to the Drug Court Judge prior to all scheduled court appearances.

e. Communicate urinalysis results to each client during their visit to the treatment center.

f. If applicable, Treatment provider will collaborate with Community Residence for all residents treatmentplanning to allow for maximum compliance with all treatment goals.

Standard: The treatment provider, in collaboration with the Drug Court Judge and County and Town departments, shall establish a localized network ofpublic and private agencies through memoranda of understanding orother formal agreements to provide support services to participantswhich at a minimum include housing, individual assessments,education, vocational training, and job placement.

V. ROLE OF THE JUDGE:

Standard: The focus and direction of a drug court program are provided through the effective leadership of a single drug court judge.

Practices:

1. The Judge is in a unique position to exert effective leadership in the promotion of coordinated drug control efforts.

2. To encourage full commitment to the success of a Drug Court Program, the Judge must allow program staff to participate fully in thedesign and implementation of the program.

3. Partnerships should be formed between the Judge, all affected criminal justice agencies and the treatment provider; which will allowcollaboration in decision-making, sharing of resources and coordination of efforts.

4. The Judge is responsible for maintaining a non-adversarial atmosphere in the Drug Court. All staff must see their job as thefacilitation of the participant’s rehabilitation.

5. The Judge must be one of the key motivational factors to convince the drug offender to seek rehabilitation. Less formal and morefrequent court appearances must be scheduled to allow the judge to motivate and monitor the participants.

6. The Judge should conduct court such that all participants benefit by observation of others as they progress (or fail to progress) intreatment and the Court takes appropriate action.

7. The Drug Court Judge must be willing to serve as program advocate. He/She will, represent the program in the community, beforegovernment, criminal justice agencies, and other public forums. He/She will be willing to seek funding for the program.

APPENDICES

A. Drug Court Docket/Case Processing

B. Drug Court Policy re: Urine Results and Statements

APPENDIX A

DRUG COURT DOCKET/CASE PROCESSING

DAY 1-2 Arraignment

District attorney and defense counsel discusses referral to Drug Court, if agreeable, a joint recommendation ismade to the arraigning Judge for referral to Drug Court.

Arraigning Judge refers case for an appearance before the Drug Court Judge.

DAY 2 Processing

Defendant appears before the Drug Court Judge and is advised of the plea offer, open discovery by DistrictAttorney, treatment recommendations, and waivers of speedy trial and waiver of felony hearing, waiver ofconfidentiality, Drug Court Contract, and the assessment process.

Drug Court Judge refers defendant to formal assessment at treatment provider’s facility.

Assessing treatment provider will begin the assessment and provide to the court at the next appearance acompleted assessment that will include recommendations related to housing, health, education, employment,and training.

DAY 2-14 Acceptance

All parties agree on conditions of enrollment

Drug Court contract signed along with the form clearly identifying non-compliance and the sanctionsadministered by the Drug Court Judge for the same.

All waivers are signed

Court schedule is prepared, with a minimum of a weekly report to the Drug Court until defendant’s positiveparticipation warrants a reduction of frequency.

Defendant may exercise option to return to criminal court without reprisal/penalty.

DAY 14 to COMPLETION

Treatment to continue with defendant and treatment provider reporting regularly to court

APPENDIX B

DRUG COURT POLICYRE: URINE RESULTS AND STATEMENTS

URINE RESULTS

Urinalysis results will only be used to assist the court and health care providers in evaluating the client’s progress. The results will only be used to determine if the defendant is progressing satisfactorily; to determine if thetreatment plan needs modifying; or, as an aid, in determining whether the individual should be terminated orgraduated from the program. Therefore, under no circumstances shall urinalysis results be used as evidence of anew crime, a violation of probation or in any other manner not consistent with the goals of the Drug Court.

STATEMENTS

The primary purpose of this program is treatment. Therefore, any statements made by a defendant participating inthe program shall not be used against him or her in any subsequent adversarial proceeding. However, spontaneousstatements made by the defendant in open court, which refer to unrelated felonious criminal activity and which arenot related to the defendant’s participation in the Drug Court program, may be admissible in other criminalproceedings and such admissibility shall be determined in an evidentiary hearing according to the Rules ofEvidence.