MENU TITLE: Drug Court I Evaluation Solicitation. Series: NIJ Solicitation Published: April 1997 26 pages 53,197 bytes U.S. Department of Justice Office of Justice Programs National Institute of Justice Jeremy Travis, Director --------------------------------------- Drug Court Evaluation I Application Deadline: June 9, 1997 -------------------------------------- I. Introduction The National Institute of Justice (NIJ) is soliciting proposals for evaluations of all of the following drug courts: o Kansas City, Missouri. o Portland, Oregon. o Las Vegas, Nevada. o Pensacola, Florida. Applicants to this solicitation are NOT permitted to contact the participating drug courts during the proposal submission period. Extensive information about the sites is provided in the appendix to this application, and an NIJ contact, who can answer questions about the sites, is provided in Section IV. Funding for this solicitation has been tentatively set at a total of $735,500. It is anticipated that two to four awards will be made. Each award may last for a period of up to 24 months. In addition, supplemental grants totaling up to $500,000 may be made available for continuing research under this solicitation. Although all four drug courts will be evaluated, applicants should propose to evaluate no more than three courts. However, since all four drug courts will be studied, successful applicants may be asked to develop proposals for courts that were not proposed in their original application. Applicants should provide a detailed budget estimate for the cost of evaluating one additional drug court (in case they are asked to do so). Further, some of the drug courts cooperating with this research solicitation already have onsite local evaluators assessing various aspects of the drug court. Researchers who are funded under this solicitation will be expected to cooperate and coordinate with these onsite evaluators. The evaluations will be conducted under discretionary grants between the grantees and NIJ. Applicants should plan for two trips to meet with NIJ grant managers in Washington, D.C. This document includes information on: o Background. o Areas of research required. o Site-specific information. o How to apply. o Requirements for award recipients. II. Background This solicitation addresses Section 2209 in Part V, Title V, of the Violent Crime Control and Law Enforcement Act of 1994 that specifically states that the Attorney General may make arrangements for evaluations of drug court programs that receive grant support from the Office of Justice Programs (OJP). The Drug Court Program is administered by the OJP Drug Court Program Office (DCPO). DCPO makes available Federal discretionary grants to States, State courts, local courts, units of local government, and Indian tribal governments for assistance with drug court programs. DCPO has defined a drug court, for the purposes of Federal grants, as a specially designed court calendar or docket the purpose of which is to: o Reduce recidivism and substance abuse among nonviolent adult and juvenile substance-abusing offenders. o Increase the likelihood of their successful rehabilitation through early, continuous, and judicially supervised treatment, mandatory periodic drug testing, the use of graduated sanctions, and other rehabilitation services. Through its grant program, the OJP DCPO assists drug court programs that, among other things, target nonviolent offenders and involve: o The continuing judicial supervision over nonviolent substance abusing offenders. o The integrated administration of other sanctions and services in any program that must include: -- Mandatory periodic testing for the use of controlled substances or other addictive substances during any period of supervised release or probation. -- Substance abuse treatment for each participant. -- Diversion, probation, or other supervised release involving the possibility of prosecution, confinement, or incarceration based on noncompliance with program requirements or failure to show satisfactory progress. -- Programmatic, offender management, and aftercare services such as relapse prevention, health care, education, vocational training, job placement, housing placement, and child care or family support services for each participant who requires such services. III. Areas of Research Required The information specific to each drug court is contained in the appendix. This information is to be used in applying to this solicitation. This evaluation of specific drug court programs will take place in two phases. Each phase will last approximately 1 year. During phase I, researchers will be expected to develop detailed designs for answering certain research questions in phase II. Phase II funds will be awarded through supplemental grants after the satisfactory submission of a design for phase II research. This design will be due in month 6 of phase I. A total of up to $500,000 may be made available for phase II. Phase I Priorities Topics to be discussed under phase I include criminal recidivism; descriptive, historical, and attitudinal data; and design development for phase II research. Criminal Recidivism. During phase I, priority should be given to obtaining and analyzing data on the following research question: To what extent do drug court program participants end or reduce criminal recidivism in comparison with criminal recidivism by members of relevant comparison groups (as measured by new arrests and new convictions for a large sample of defendants who entered the drug court program in question prior to 1997)? Data on new arrests and new convictions are available for all of the sites. There may be some difficulties in obtaining reliable criminal history data. For example, drug court participants may be arrested, long after admission to the drug court, on warrants that relate to incidents that took place prior to enrollment. In using criminal history data, care should be taken not to interpret such arrests as indicators of recidivist behavior unless this is indicated by other sources of data such as manual police report files. Descriptive, Historical, and Attitudinal Data. During phase I (and throughout the evaluation), strong emphasis should be placed on development of comprehensive descriptive, historical, and attitudinal data about the drug court programs. Data collection should focus on answering the following research questions (among others that may be pertinent for specific sites): What are the operational features of the drug court? What system does the drug court operate within? What are the dynamics of the program's development? What issues and conflicts have arisen and how have they been addressed? How has the drug court program evolved over time? Why were particular policy and procedural decisions made? What changes were perceived in attitudes and practices as the drug court evolved? How is the drug court program impact and effectiveness perceived by persons involved in and/or affected by drug court operations? This information is important for several reasons: Specific operational features of drug courts differ from each other (e.g., target populations; point of drug court intervention in relation to initial arrest; frequency and scope of urine testing during the program; treatment modalities used). Further, within each drug court, operational elements may change over time (e.g., key participant characteristics such as current charge and prior record; types of sanctions and incentives; comprehensiveness of treatment and support services; and key personnel). These differences may conceivably influence program outcomes and must be considered in comparative analyses of various drug court programs. Details of program operations and history provide a context within which to assess the significance of findings for each site with respect to outcome variables such as changes in criminal behavior. For example, a finding of low recidivism rates for program participants is more significant if we know that the participants are hard-core drug users with long criminal histories rather than participants charged with a first-offense marijuana possession. Information on changes in the attitudes and perceptions of those involved in and affected by the drug court program, including judges, prosecutors, defense lawyers, treatment providers, court staff, pretrial services staff, probation officers, law enforcement officials, jail officials, public health officials, and the defendants themselves, can be regarded as a type of process and outcome data (to the extent that such changes can be reliably attributed to the drug court initiative). Further, the drug court process creates unique collaborations and relationships that can be valuable both for future planning and implementation efforts. Many current drug court staff have been involved in the program since its inception and can provide the needed descriptive, historical, and attitudinal information. All the sites have written materials describing the drug court as well. Design Development for Phase II Research. Once researchers are onsite and working on other aspects of the phase I evaluation, they are expected to develop viable strategies for obtaining reliable data about changes in substance abuse, income, employment, housing, family situation, education, overall health, and other lifestyle variables for drug court participants and for relevant comparison group members. Data on these types of outcomes are not readily available in all sites, and there are a number of methodological problems that will have to be addressed. Development (and perhaps initial pilot testing) of such a design is due in month 6 of phase I of the evaluation research project. Phase II Priorities Topics to be discussed under phase II include participant retention in treatment; changes in participants' life circumstances and productivity; and cost-benefit analysis. Participant Retention in Treatment. All four drug courts typically require at least 1 year to complete the program and are organized in phases that reflect reduced intensity of treatment and monitoring as positive progress is made by the participant. Relapses are expected but, while consequences are imposed for failed drug tests or other evidence of noncompliance with program requirements, participants are strongly encouraged to remain in the program. A variety of supportive mechanisms are used to encourage their continued participation. Data on individuals' participation in the drug court treatment program, including the duration of participation and the extent of compliance with program requirements, are available in all four sites. At a minimum, it should be possible to assess the following question: To what extent does length of time and type of treatment provided in the drug court treatment program impact criminal recidivism, changes in substance abuse, income, employment, housing, education, overall health, and other lifestyle variables, in comparison with members of relevant comparison groups and the length of time comparison group members spent in other treatment programs? For drug court participants, there will be data on substance abuse, as measured by the results of urine tests, during the program. It will be more difficult to obtain data for postprogram substance abuse by program graduates and persons terminated from the program, as well as for substance abuse by members of the comparison groups. There are, however, some possible sources: o Searches of criminal history records can indicate whether an individual was ever subsequently arrested for a charge involving possession of a controlled substance. o Searches of probation department files can indicate whether an individual has had any subsequent pre-sentence investigations or probation violation proceedings that show evidence of substance abuse. o Locating defendants and obtaining self-report data can be accomplished by using available files that contain a number of identifiers (including name, social security number, date of birth, race, and address [at least as of date of arrest]). However, there are obvious problems with self- report data on substance abuse that must be addressed. Changes in Participants' Life Circumstances and Productivity. Data on changes in life circumstances and productivity should include substance abuse, income, employment, housing, family situation, education, overall health, and other lifestyle variables (e.g., volunteer work). Key research questions include the following: To what extent and in what ways are there measurable differences between drug court program participants and members of relevant comparison groups in terms of changes in the life circumstances and productivity variables? Data on these change variables are likely to be difficult to obtain (even for drug court program graduates). There are a number of possible sources of data, however, including: o Local probation department files and some State probation or community corrections department files. o State and local departments of labor and employment, health, mental health, and social services. o The individuals themselves through self-report data. Cost-Benefit Analysis. Obtaining data on program operations and noncriminal justice outcome variables will be very important for cost-benefit analysis of drug court programs. Time spent at the sites should give the researchers the opportunity to develop designs that will enable sound cost- benefit analysis. Implementation of these designs may be funded in the future. Little is known about the availability of some data relevant to cost-benefit analysis (in particular data on the health, housing, and economic productivity of drug court participants and comparison group members). Getting accurate data on the true costs of a drug court program will be difficult, and developing reliable data on cost savings and other benefits still more difficult. Questions include the following: What are the ongoing costs of the drug court program to each of the participating organizations (e.g., Court, Prosecutor's Office, Public Defender's Office, Police, Sheriff/Jail, Pretrial Services, Probation, Treatment Provider [and/or sources of funding for treatment], Others)? What are the savings in costs to each of the participating organizations from their involvement in the drug court? What other savings or other benefits, short-term and long-term, can be attributed to the drug court program? To what extent can such savings or benefits be quantified in terms of dollars for: o Reduced use of jail, prison, probation, and parole. o Reduced theft and victim injuries. o Reduced health care costs. o Reduced reliance on welfare and food stamps. o Birth of drug-free babies; reduced infant/child care costs. o Economic productivity and tax payments. o Other types of savings/benefits. What drug court program designs appear likely to produce the most significant short-term and long- term savings? From a cost-effectiveness standpoint, what categories of defendants are the most promising "targets" for use of limited treatment and other resources? What program designs are most problematic? Retrospective Data Evaluations should encompass 1 year beyond client graduation from the drug court or, if the program contains an aftercare component, 1 year beyond the end of aftercare. It is expected that research designs may need to collect retrospective data in order to accomplish this within a reasonable timeframe. Research Design and Comparison Groups The drug courts listed in this solicitation have agreed to participate in a rigorous evaluation that involves a quasi-experimental design. Applicants should carefully discuss the selection and configuration of comparison groups (including eligibility and exclusion criteria); threats to study validity such as voluntary participation in the program and maturation effects on substance abuse; the determination of program relapse versus program failure; and strengths and limitations in the research design selected by the applicant. The identification of appropriate comparison groups, for whose members it will be possible to collect essential data, is a key element of the evaluation design for these drug courts. To the extent possible, comparison groups should be similar to the persons admitted to the drug court program in terms of salient characteristics: o Charge. o Date of arrest (approximately). o Prior record. o Age. o Race/ethnicity. o Gender. o Nature and severity of drug use problems. Prosecutors' case files, which include police reports, typically have information about all of these characteristics except the last. The salient characteristic for which it may be most difficult to obtain reliable data for comparison group members is nature and severity of the substance abuse problem. Probation Department files often have information on defendants' substance abuse problems and history; these may be helpful in identifying possible comparison group members. Although it is preferable to have a comparison group of nonparticipants, it may also be useful to compare drug court program participants with themselves on a before-and-after basis. Site-Specific Information Applicants should refer to the appendix for specific information about the drug courts to be evaluated and use this information in applying to this solicitation. IV. How To Apply This section presents information about how to apply, recommendations to proposal writers, and requirements for grant recipients. Proposals not conforming to these application procedures will not be considered. Persons interested in submitting research proposals under this solicitation must complete the required application material (see below for how to obtain application policies and forms). Applications must include the following information on completed forms to qualify for funding: 1. Standard Form (SF) 424 -- application for Federal assistance. 2. Assurances. 3. Certifications Regarding Lobbying; Debarment, Suspension, and Other Responsibility Matters; and Drug-Free Workplace Requirements. 4. Disclosure of Lobbying Activities. 5. Budget Detail Worksheet. 6. Negotiated indirect rate agreement (if appropriate). 7. Names and affiliations of all key persons from applicant and subcontractor(s), advisers, consultants, and advisory board members. Include name of principal investigator, title, organizational affiliation (if any), department (if institution of higher education), address, telephone, and fax. 8. Proposal abstract. 9. Table of contents. 10. Program narrative or technical proposal. 11. Privacy certificate. 12. References. 13. Resumes. 14. Appendixes, if any (e.g., list of previous NIJ awards, their status, and products [in NIJ or other publications]). Obtaining application forms. To obtain application forms and instructions and a guide for submitting proposals, applicants can: o Access the Justice Information Center on the World Wide Web: http://www.ncjrs.org/fedgrant.htm#nij. NIJ application policies and forms are available as electronic files that may be downloaded to a personal computer. o Request mail delivery from the National Criminal Justice Reference Service at 800-851-3420. o Make a request to the Department of Justice Response Center at 800-421-6770. Due date. Completed proposals must be received at the National Institute of Justice by the close of business on June 9, 1997. Extensions of this deadline will not be permitted. Number of copies. Send ten (10) copies of the fully executed proposal. Where to send. Proposals should be sent to: Drug Court Evaluation I National Institute of Justice Room 303 633 Indiana Avenue N.W. Washington, DC 20531 Award period. 24 months. Number of awards. NIJ anticipates supporting up to four grants under this solicitation. Award amount. Awards totaling $735,500 may be made available for phase I of this NIJ solicitation. Supplemental grants totaling up to $500,000 may be made available for phase II research. Contact. Applicants who wish to obtain copies of this solicitation for proposals may contact the U.S. Department of Justice Response Center by phone at 800-421-6770 (local number is 202-307-1480) and by fax at 202-616-9249. The National Criminal Justice Reference Service holds background information in the drug courts issue area, 800-851- 3420, as does the Drug Court Clearinghouse and Technical Assistance Project (DCCTAP) at the American University 202-885-2875. Carolyn Peake, NIJ, can answer questions about specific drug courts included in this solicitation. Other substantive questions can be addressed by calling Laurie Bright at 202-616-3624. Certifications. Applicants should read and sign the certification form regarding lobbying; debarment, suspension, and other responsibility matters; and drug-free workplace requirement included in this solicitation. Signing this form commits the applicant to compliance with the certification requirements under 28 CFR (Code of Federal Regulations) 69, "New Restrictions on Lobbying," and 28 CFR 67, "Government-Wide Debarment and Suspension (Nonprocurement) and Government-Wide Requirements for Drug-Free Workplace (Grants)." The certification will be treated as a material representation of the fact upon which reliance will be placed by the U.S. Department of Justice in making awards. Recommendations to Proposal Writers Over the past 4 years, NIJ staff have reviewed approximately 1,500 grant applications. On the basis of those reviews and inquiries from applicants, NIJ offers the following recommendations to help potential applicants present workable, understandable proposals, especially for applicants new to NIJ. Many of these recommendations were adopted from materials provided to NIJ by the State Justice Institute. Others reflect standard NIJ requirements. The author(s) of the proposal should be clearly identified. Proposals that are incorrectly collated, incomplete, or handwritten will be judged as submitted or, at NIJ's discretion, will be returned without a deadline extension. No additions to the original submission are allowed. NIJ suggests that applicants make certain that they address the questions, issues, and requirements set forth below when preparing an application. 1. What is the subject or problem you wish to address? Describe the subject or problem and how it affects the criminal justice system and the public. Discuss how your approach will improve the situation or advance the state-of-the-art or state- of-the-science knowledge and explain why it is the most appropriate approach to take. Give appropriate citations to the research literature. The source of statistics or research findings cited to support a statement or position should be included in a reference list. 2. What do you want to do? Explain the goal(s) of the project in simple, straightforward terms. The goal(s) should describe the intended consequences or expected overall effect of the proposed project, rather than the tasks or activities to be conducted. To the greatest extent possible, applicants should avoid a specialized vocabulary that is not readily understood by the general public. Technical jargon does not enhance an application. 3. How will you do it? Describe the methodology carefully so that what you propose to do and how you would do it is clear. All proposed tasks should be set forth so that a reviewer can see a logical progression of tasks and relate those tasks directly to the accomplishment of the project's goal(s). When in doubt about whether to provide a more detailed explanation or to assume a particular level of knowledge or expertise on the part of the reviewers, err on the side of caution and provide the additional information. A description of project tasks also will help identify necessary budget items. All staff positions and project costs should relate directly to the tasks described. NIJ encourages applicants to attach letters of cooperation and support from agencies that will be involved in or directly affected by the proposed project. 4. What should you include in a grant application for a program evaluation? If a grant application is for a program evaluation, describe how the evaluation will determine whether the proposed program, training, procedure, service, or technology accomplished the objectives it was designed to meet. Applicants seeking support for a proposed evaluation should describe the criteria that will be used to evaluate the project's effectiveness and identify program elements that will require further modification. The description in the application should include how the evaluation will be conducted, when it will occur during the project period, who will conduct it, and what specific measures will be used. In most instances, the evaluation should be conducted by persons not connected with the implementation of the procedure, training, service, or technique, or the administration of the project. 5. How will others learn about your findings? Include a plan to disseminate the results of the research, evaluation, technology, or demonstration beyond the jurisdictions and individuals directly affected by the project. The plan should identify the specific methods that will be used to inform the field about the project, such as the publication of journal articles or the distribution of key materials. Expectations regarding products are discussed more fully in the following section, "Requirements for Award Recipients." A statement that a report or research findings "will be made available to" the field is not sufficient. The specific means of distribution or dissemination as well as the types of recipients should be identified. Reproduction and dissemination costs are allowable budget items. Applicants must concisely describe the interim and final products and address each product's purpose, audience, and usefulness to the field. This discussion should identify the principal criminal justice constituency or type of agency for which each product is intended and describe how the constituent group or agency would be expected to use the product or report. Successful proposals will clearly identify the nature of the grant products that can reasonably be expected if the project is funded. In addition, a schedule of delivery dates of all products should be delineated. 6. What are the specific costs involved? The budget application should be presented clearly. Major budget categories such as personnel, benefits, travel, supplies, equipment, and indirect costs should be identified separately. The components of "Other" or "Miscellaneous" items should be specified in the application budget narrative and should not include set-asides for undefined contingencies. 7. How much detail should be included in the budget narrative? The budget narrative should list all planned expenditures and detail the salaries, materials, and cost assumptions used to estimate project costs. The narrative and cost estimates should be presented under the following standard budget categories: personnel, fringe benefits, travel, equipment, supplies, contracts, other, and indirect costs. For multiyear projects, applicants must include the full amount of NIJ funding for the entire life of the project. This amount should be reflected in item 15g on Form 424 and in TOTAL PROJECT COSTS in the Budget Detail Worksheet (OJP Form 7150/1). When appropriate, grant applications should include justification of consultants and a full explanation of daily rates for any consultants proposed. To avoid common shortcomings of application budget narratives, include the following information: o Personnel estimates that accurately provide the amount of time to be spent by personnel involved with the project and the total associated costs, including current salaries for the designated personnel (e.g., Project Director, 50 percent of 1 year's annual salary of $50,000 = $25,000). If salary costs are computed using an hourly or daily rate, the annual salary and number of hours or days in a work year should be shown. o Estimates for supplies and expenses supported by a complete description of the supplies to be used, nature and extent of printing to be done, anticipated telephone charges, and other common expenditures, with the basis for computing the estimates included (e.g., 100 reports x 75 pages each x $0.05/page = $375). Supply and expense estimates offered simply as "based on experience" are not sufficient. 8. What travel regulations apply to the budget estimates? Transportation costs and per diem rates must comply with the policies of the applicant organization, and a copy of the applicant's travel policy should be submitted as an appendix to the application. If the applicant does not have a travel policy established in writing, then travel rates must be consistent with those established by the Federal Government. The budget narrative should state which regulations are in force for the project and should include the estimated fare, the number of persons traveling, the number of trips to be taken, and the length of stay. The estimated costs of travel, lodging, ground transportation, and other subsistence should be listed separately. When combined, the subtotals for these categories should equal the estimate listed on the budget form. 9. Which forms should be used? A copy of SF 424, Application for Federal Assistance, plus instructions, are included among the application forms. Please follow the instructions carefully. In addition, complete the Budget Detail Worksheet (OJP Form 7150/1), Assurances (OJP Form 4000/3), and Certifications Regarding Lobbying; Debarment, Suspension, and Other Responsibility Matters; and Drug-Free Workplace Requirements (OJP Form 4061/6). 10. What technical materials are required to be included in the application? o A one-page abstract of the full proposal, highlighting the project's purpose, methods, activities and, when known, the location(s) of field research. o A program narrative, which is the technical portion of the proposal. It should include a clear, concise statement of the problem, goal(s), and objectives of the project and related questions to be explored. A discussion of the relationship of the proposed work to the existing literature is expected. o A statement of the project's anticipated contribution to criminal justice policy and practice. It is important that applicants briefly cite those particular issues and concerns of present-day criminal justice policy that stimulate the proposed line of inquiry and suggest what their own investigation would contribute to current knowledge. o A detailed statement of the proposed research or study design and analytical methodologies. The proposed data sources, data collection strategies, variables and issues to be examined, and procedures of analysis to be employed should be delineated carefully and completely. When appropriate, experimental designs are encouraged because of their potential relevance to policymaking and the strength of the evidence they can produce. o The organization and management plan to conduct the study. A list of major milestones of events, activities, and products and a timetable for completion that indicates the time commitments to individual project tasks should be included. All grant activities, including writing of the final report, should be completed within the duration of the award period. o The applicant's curriculum vitae should summarize education, research experience, and bibliographic information related to the proposed work. 11. How may grant funds be used? Grant funds may be used to purchase or lease equipment essential to accomplishing the objectives of the project. The budget narrative must list such equipment and explain why the equipment is necessary. Funds may not be used for operating programs, writing texts or handbooks, training, etc. 12. To what extent may indirect costs be included in the budget estimates? It is the policy of the Institute that all costs should be budgeted directly; however, if an applicant has an indirect cost rate that has been approved by a Federal agency within the past 2 years, an indirect cost- recovery estimate may be included in the budget. A copy of the approved rate agreement should be submitted as an appendix to the application. If an applicant does not have an approved rate agreement, the applicant should contact the Office of the Comptroller, Office of Justice Programs, at 202- 307-0623, to obtain information about preparing an indirect cost-rate proposal. 13. What, if any, matching funds are required? Units of State and local governments (not including publicly supported institutions of higher education) are encouraged to contribute a match (cash, noncash, or both) of requested funds. Other applicants also are encouraged to seek matching contributions from other Federal agencies or private foundations to assist in meeting the costs of the project. 14. Should other funding sources be listed? Applicants are expected to identify all other Federal, local, or private sources of support, including other NIJ programs, to which this or a closely related proposal has been or will be submitted. This information permits NIJ to consider the joint funding potential and limits the possibility of inadvertent duplicate funding. Applicants may submit more than one proposal to NIJ, but the same proposal cannot be submitted in more than one program area. 15. What is the deadline? June 9, 1997. 16. Is there a page limit? NIJ has established a limit of 30 double-spaced pages (with font size not smaller than 12 points) for all normal grant applications. This page limit does not include references, budget narrative, curriculum vitae, forms noted in item 9 above, or necessary appendixes. Proposals failing to conform to these page and font limitations will not be accepted. 17. What does the review process entail? After all applications for a competition are received, NIJ will convene a series of peer review panels of criminal justice professionals and researchers. NIJ will assign proposals to peer panels that it deems most appropriate. Panel members read each proposal and meet to assess the technical merits and policy relevance of the proposed research. Panel assessments of the proposals, together with assessments by NIJ staff, are submitted to the Director, who has sole and final authority over approval and awards. The review normally takes 60 to 90 days, depending on the number of applications received. Each applicant receives written comments from the peer review panel concerning the strengths and weaknesses of the proposal. These comments may include suggestions for how a revised or subsequent application to NIJ might be improved. 18. What are the criteria for an award? The essential question asked of each applicant is, "If this study were successful, how would criminal justice policies or operations be improved?" Four criteria are applied in the evaluation process: o Impact of the proposed project. o Feasibility of the approach to the issue, including technical merit and practical considerations. o Originality of the approach, including creativity of the proposal and capability of the research staff. o Economy of the approach. Applicants bear the responsibility of demonstrating to the panel that the proposed study addresses the critical issues of the topic area and that the study findings could ultimately contribute to a practical application in law enforcement or criminal justice. Reviewers will assess applicants' awareness of related research or studies and their ability to direct the research or study toward answering questions of policy or improving the state of criminal justice operations. Technical merit is judged by the likelihood that the study design will produce convincing findings. Reviewers take into account the logic and timing of the research or study plan, the validity and reliability of measures proposed, the appropriateness of statistical methods to be used, and each applicant's awareness of factors that might dilute the credibility of the findings. Impact is judged by the scope of the proposed approach and by the utility of the proposed products. Reviewers consider each applicant's understanding of the process of innovation in the targeted criminal justice agency or setting and knowledge of prior uses of criminal justice research by the proposed criminal justice constituency. Appropriateness of products in terms of proposed content and format is also considered. Applicants' qualifications are evaluated both in terms of the depth of experience and the relevance of that experience to the proposed research or study. Costs are evaluated in terms of the reasonableness of each item and the utility of the project to NIJ's program. 19. Are there any other considerations in selecting applications for an award? Projects should have a national impact or have potential relevance to a number of jurisdictions. Because of the broad national mandate of the National Institute of Justice, projects that address the unique concerns of a single jurisdiction should be fully justified. Projects that intend to provide services in addition to performing research are eligible for support, but only for the resources necessary to conduct the research tasks outlined in the proposal. The applicant's performance on previous or current NIJ grants will also be taken into consideration in making funding decisions. 20. Who is eligible to apply? NIJ awards grants to, or enters into cooperative agreements with, educational institutions, nonprofit organizations, public agencies, individuals, and profitmaking organizations that are willing to waive their fees. Where appropriate, special eligibility criteria are indicated in the solicitation. 21. Does NIJ accept resubmission of proposals? NIJ will accept resubmission of a previously submitted proposal. The applicant should indicate on Question 8, Form 424, that the application is a revision. The applicant should include this information in the abstract. Finally, the applicant should prepare a one-page response to the earlier panel review (to follow the abstract) and include (1) the title, submission date, and NIJ-assigned application number of the previous proposal, and (2) a brief summary of responses to the review and/or revisions to the proposal. Requirements for Award Recipients Required products. Each project is expected to generate tangible products of maximum benefit to criminal justice professionals, researchers, and policymakers. In particular, NIJ strongly encourages documents that provide information of practical utility to law enforcement officials; prosecutors; judges; corrections officers; victim services providers; and Federal, State, county, and local elected officials. Products should include: o A summary of approximately 2,500 words highlighting the research findings and the policy issues those findings will inform. The material should be written in a style that will be accessible to policy officials and practitioners and suitable for possible publication as an NIJ Research in Brief. An NIJ editorial style guide is sent to each project director at the time of the award. o A full technical report, including a discussion of the research question, review of the literature, description of project methodology, detailed review of project findings, and conclusions and policy recommendations. o Clean copies of all automated data sets developed during the research and full documentation prepared in accordance with the instructions in the NIJ publication Depositing Data With the Data Resources Program of the National Institute of Justice: A Handbook. o Brief project summaries for NIJ use in preparing annual reports to the President and Congress. As appropriate, additional products such as case studies and interim and final reports (e.g., articles, manuals, or training materials) may be specified in the proposal or negotiated at the time of the award. Prohibition on supplanting funds. Federal funds must be used to supplement existing funds and not replace those funds that have been appropriated for the same purpose. Potential supplanting will be the subject of application review, as well as pre-award review, post-award monitoring, and audit. If there is a potential presence of supplanting, the applicant or grantee will be required to supply documentation demonstrating that the reduction in non-Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. Public Release of Automated Data Sets NIJ is committed to ensuring the public availability of research data and to this end established its Data Resources Program in 1984. All NIJ award recipients who collect data are required to submit a machine-readable copy of the data and appropriate documentation to NIJ prior to the conclusion of the project. The data and materials are reviewed for completeness. NIJ staff then create machine-readable data sets, prepare users' guides, and distribute data and documentation to other researchers in the field. A variety of formats are acceptable; however, the data and materials must conform with requirements detailed in Depositing Data With the Data Resources Program of the National Institute of Justice: A Handbook. A copy of this handbook is sent to each project director at the time of the award. For further information about NIJ's Data Resources Program, contact Dr. James Trudeau at 202-307-1355. Standards of Performance by Recipients NIJ expects individuals and institutions receiving its support to work diligently and professionally toward completing a high-quality research or study product. Besides this general expectation, NIJ imposes specific requirements to ensure that proper financial and administrative controls are applied to the project. Financial and general reporting requirements are detailed in Financial Guide, published in April 1996 by the Office of Justice Programs. This guideline manual is sent to recipient institutions with the award documents. Project directors and recipient financial administrators should pay particular attention to the regulations in this document. Audit requirement. State and local governments, nonprofit organizations, and institutions of higher education are governed by OMB Circular A-133, as amended. Whether an audit is required under this circular is dependent upon the amount of Federal funds that can be audited during the recipient's fiscal year. If the organization receives $300,000 or more per year in Federal funds, the organization shall have an organizationwide financial and compliance audit. Commercial (for-profit) organizations shall have financial and compliance audits performed by qualified individuals who are independent from those who authorize the expenditure of Federal funds. This audit must be performed in accordance with Government Auditing Standards. The audit thresholds contained in OMB Circular A-133, as amended applies. Applicants are required to provide the period of their organization's fiscal year and the name of their organization's cognizant Federal agency in block 11 of SF 424. The cognizant Federal agency is generally determined based on the preponderance of Federal dollars received by the applicant. Financial status reports. Financial status reports (SF 269A) are due quarterly on the 45th day following the end of each calendar quarter. A report must be submitted every quarter the award is active. The final report is due 120 days after the end date of the award. The Office of the Comptroller, Office of Justice Programs, will provide a copy of this form in the initial award package. Conditions for suspension or termination of funding. NIJ may suspend, in whole or in part, terminate funding for, or impose another sanction on a recipient for the following reasons: o Failure to comply substantially with the requirements or statutory objectives of the Omnibus Crime Control and Safe Streets Act of 1968, as amended; the Anti-Drug Abuse Act of 1988; program guidelines issued thereunder; or other provisions of Federal law. o Failure to make satisfactory progress toward the goal(s) or strategies set forth in this application. o Failure to adhere to the requirements in the agreement, standard conditions, or special conditions. o Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding. o Failure to submit reports. o Filing a false certification in this application or other report or document. Before imposing sanctions, NIJ will provide reasonable notice to the recipient of its intent to impose sanctions and will attempt informally to resolve the problem. Hearing and appeal procedures will follow those in U.S. Department of Justice regulations in 28 CFR 18. Program Monitoring Award recipients and principal investigators assume certain responsibilities as part of their participation in government-sponsored research and evaluation. NIJ's monitoring activities are intended to help grantees meet these responsibilities. They are based on good communication and open dialogue, with collegiality and mutual respect. Some of the elements of this dialogue follow: o Communication with NIJ in the early stages of the grant, as the elements of the proposal's design and methodology are developed and put into operation. o Timely communication with NIJ regarding any developments that might affect the project's compliance with the schedules, milestones, and products set forth in the proposal. (See statement on "Timeliness" below.) o Communication with other NIJ grantees conducting related research projects. An annual "cluster conference" should be anticipated and should be budgeted for by applicants at a cost of $1,000 for each year of the grant. o Providing NIJ on request with brief descriptions of the project in interim stages at such time as the Institute may need this information to meet its reporting requirements to Congress. NIJ will give as much advance notification of these requests as possible but will expect a timely response from grantees when requests are made. NIJ is prepared to receive such communication through electronic media. o Providing NIJ with copies of presentations made at conferences, meetings, and elsewhere based in whole or in part on the work of the project. o Providing NIJ with prepublication copies of articles based on the project appearing in professional journals or the media, either during the life of the grant or after. o Other reporting requirements (progress reports, final reports, and other grant products) are spelled out elsewhere in this section. Financial reporting requirements will be described in the grant award documents received by successful applicants. Progress Reports NIJ Program Managers should be kept informed of research progress. Written progress reports are required on a semiannual basis and should inform the Program Manager of which tasks have been completed and whether significant delays or departures from the original workplan are expected. The first progress report should cover the period from the beginning date of the project through the end of the first complete quarter (quarters are January 1-March 31, April 1-June 30, July 1- September 30, and October 1-December 31). Subsequent progress reports should cover the next two quarters. All progress reports are due 30 days following the end of the reporting period. For example, if a grant is awarded in May, the first progress report would cover the rest of the current quarter (through June 30) and the first complete quarter (July 1-September 30) and would be due October 31; the second progress report would cover the next two quarters (October 1-December 31 and January 1-March 31) and would be due April 30. Timeliness. Grantees are expected to complete award products within the timeframes that have been agreed upon by NIJ and the grantee. NIJ recognizes that there are legitimate reasons for project extensions. However, NIJ does not consider the assumption of additional research projects that impinge upon previous time commitments as legitimate reasons for delay. Projects with unreasonable delays can be terminated administratively. In this situation, any funds remaining are withdrawn. Future applications from either the project director or the recipient institution are subject to strict scrutiny and may be denied support based on past failure to meet minimum standards. Publications. The Institute encourages grantees to prepare their work for NIJ publication. In cases where grantees disseminate their findings through a variety of media, such as professional journals, books, and conferences, copies of such publications should be sent to the Program Manager as they become available, even if they appear well after a project's expiration. NIJ imposes no restriction on such publications other than inclusion of the following acknowledgment and disclaimer: This research was supported by grant number ___________ from the National Institute of Justice. Points of view are those of the author(s) and do not necessarily represent the position of the U.S. Department of Justice. Data confidentiality and human subjects protection. Research that examines individual traits and experiences plays a vital part in expanding our knowledge about criminal behavior. It is essential, however, that researchers protect subjects from needless risk of harm or embarrassment and proceed with their willing and informed cooperation. NIJ requires that investigators protect information identifiable to research participants. When information is safeguarded, it is protected by statute from being used in legal proceedings: "[Such information and copies thereof shall be immune from legal process, and shall not, without the consent of the person furnishing such information, be admitted as evidence or used for any purpose in any action, suit, or other judicial, legislative, or administrative proceedings (42 United States Code 3789g)." Applicants should file their plans to protect sensitive information as part of their proposal. Necessary safeguards are detailed in 28 CFR, 22. A short "how-to" guideline for developing a privacy and confidentiality plan can be obtained from NIJ Program Managers. In addition, the U.S. Department of Justice has adopted human subjects policies similar to those established by the U.S. Department of Health and Human Services. If an institutional review board is necessary for this project, a copy of the board's approval must be submitted to the National Institute of Justice prior to the initiation of data collection. Researchers are encouraged to review 28 CFR 46, 46.101, to determine their individual project requirements. NIJ is trying to streamline its process to accommodate the volume of proposals anticipated under this and other Crime Act solicitations. Researchers can help in a significant way by sending NIJ a nonbinding letter on intent by May 16, 1997. The Institute will use these letters to forecast the number of peer panels it needs and to identify conflicts of interest among potential reviewers. There are three ways to send these letters. You can fill out the mailer on the last page of this solicitation. You can reach NIJ by Internet by sending e-mail to tellnij@ncjrs.org and identifying the solicitation you expect to apply for and the specific drug courts you wish to evaluate. You can write a letter with the same information to Drug Court Evaluation I, Fiscal Year 1997, 633 Indiana Avenue N.W., Washington, DC 20531. Help us help you ------------------------------- Appendix Drug Courts in Four States ----------------------- Kansas City Drug Court --------------------- Step 1: Arrest and Detention Cases that end up in the Drug Court enter the criminal justice system in three ways. Issuance of a Warrant: a warrant can be issued for a person participating in drug crime. Case Forwarding: a defendant's case can be referred to the Drug Court District Attorney for screening if there is evidence that the offense committed was as a result of drug use, e.g., stealing. Arrest: if there is an arrest, the defendant is held for no more than 20 hours. The arrest is reviewed by a detective, a confession is sought, a probable cause statement written, and a lab test of the suspected drug is ordered. After a lab test is received, the case is forwarded to the District Attorney's office for review. If the case looks solid, it is filed directly in Drug Court, and a warrant is issued for the defendant.* * The time lag between arrest and case filing in the Drug Court is estimated to be 2 to 4 months but may be as long as 6 months in some cases. --------------------- Step 2: Eligibility Screening by the Drug Court DA Defendants are screened based on the following criteria: o The defendant charged with felony possession of a controlled substance (weight consistent with personal use). o Charges of three or more felonies on the same charging instrument disqualify the defendant. o Defendants currently on State probation are not eligible. o The defendant is charged with nondrug offense, but the circumstances indicate the need for drug treatment. --------------------- Step 3: Initial Hearing Judge describes the program, including sanctions and incentives. Public Defender speaks with the defendant and again explains the program and the legal options available to the defendant. If the defendant declines participation, procedures continue as usual and the defendant's bond remains the same. If the defendant agrees to participation, bond conditions are changed to include the condition that the defendant remain under the supervision of the Diversion Manager and follow the directives of the Diversion Manager. (Diversion Managers are staff of the Pretrial Services Agency.) The next appearance, in approximately 3 weeks, is scheduled to coincide with the anticipated completion of the assessment process. The Diversion Manager escorts the day's new filings to the Drug Court Day Reporting Center, which serves as the Central Intake Unit. --------------------- Step 4: Central Intake Case information is entered into the Drug Court INFORMER system (MIS). A criminal risk assessment is conducted, and both the bond evaluation (pretrial release form) and defendant's criminal history information are requested for the file. Defendant receives an additional orientation. --------------------- Step 5: Day Reporting Center and Initial Assessment Defendants remain in the Day Reporting Center for approximately 3 to 4 weeks for assessment of treatment needs. There are both day and evening tracks, with higher-need defendants routinely referred to the day track. Defendants receive the following assessments: substance abuse, health, educational/vocational, mental health, and family. Requirements: o Pretreatment groups daily. o UAs 3 times per week. o Other services as needed. --------------------- Step 6: Second Appearance Judge reviews the treatment provider report (e.g., UA results, attendance, assessment results). If the results are satisfactory (greater than 75 percent compliance), the defendant enters phase I treatment (detailed below): o Defendant waives preliminary hearing and a speedy trial. o Defendant signs the diversion contract with the court. If the results are not satisfactory, there are three possible outcomes: o If the defendant is in compliance with 50-75 percent of program requirements, the defendant is set over with sufficient time to complete the requirements. o If the defendant is less than 50 percent compliant, the defendant may be terminated, or the court may order remedial action such as additional hearings to promote compliance --------------------- Step 7: Phase 1 Treatment Defendants can be assigned to one of six levels of treatment (see below). Duration: approximately 26 weeks. Level-dependent requirements including: o Group counseling. o Individual counseling. o Family counseling. o Other treatment requirements. o UAs. o Begin working toward education or work goals. o Begin community service requirement. o $5 fee per court appearance. Level of compliance needed to move to phase II: o Attend a minimum of 75 percent of counseling sessions. o Remain drug free for a minimum of 90 days. o Defendants will be retained in this phase until required activities are satisfactorily completed. (Defendants may be returned to the Assessment Phase if there is cause.) Court appearances: At a minimum, court hearings are held every 8 weeks--the frequency is adjusted to reflect program compliance with good performers having less frequent hearings. --------------------- Step 8: Phase II Treatment Defendants can be assigned to one of six levels of treatment (see below). Duration: until completion of full 52 weeks in the program (longer if necessary). Level-dependent requirements including: o Group counseling. o Individual counseling. o Family counseling. o Self-help (12-Step) groups. o Other treatment requirements. o UAs. o Continue working toward education or work goal of full-time school or work. o Complete community service requirement. o $5 fee per court appearance. Defendants will be retained in this phase until required activities are satisfactorily completed (defendants may be returned to phase I if there is cause). Court appearances: At a minimum, court hearings are held every 8 weeks--the frequency is adjusted to reflect program compliance, with good performers having less frequent hearings. --------------------- Court Hearings Hearings are held on the following (approximate) schedule: o Every 3 to 4 weeks if the defendant is doing poorly. o Every 5 to 6 weeks if the defendant is doing well. o Every 8 to 10 weeks if the defendant is doing exceptionally well. At each of the hearings, the treatment provider's report is reviewed. If a defendant is doing well, the following incentives are available: Reduction in the frequency of court hearings. o Reduction in the level of treatment required. o Reduction in fees paid to the court. o Public recognition of progress. o Clean Time certificates. If the defendant is doing poorly, the following sanctions are available: o Increase the frequency of court hearings. o Increase in the level of treatment required. o Jury box time (defendant remains in the jury box for a specific period of time). o Jail time (usually 2 or more days). o Termination from the program. If a defendant picks up a new charge while in Drug Court, the defendant is automatically terminated. Defendants who abscond are carried on the Drug Court docket until they are returned to court, at which time a termination hearing is held. --------------------- Graduation Requirements Level of compliance needed to graduate: o Attend a minimum of 75 percent of counseling sessions. o Complete all counseling requirements. o Complete 40 hours of community service. o Be employed or attending school full time. o Complete the exit questionnaire. o Remain drug free for a minimum number of days. --------------------- Step 9: Graduation Graduation ceremony for successful defendants is held in the court. o All graduates receive a graduation certificate. o All graduates receive a Clean Time certificate. Dismissal of charges. --------------------- Step 10: Graduates Group Successful defendants can participate in the Graduates Group, which meets once per month. --------------------- Levels of Treatment Available Level 1: o Group counseling twice per month. o 12-Step meetings a minimum of once per week. o UAs twice per month. Level 2: o Group counseling once per month. o Individual counseling twice per month. o 12-Step meetings a minimum of once per week. o UAs once per week. Level 3: Intensive Outpatient o Group counseling twice per week. o Individual counseling once per week. o 12-Step meetings a minimum of once per week. o UAs twice per week. Level 4: Short-Term Residential o Participation in a short-term residential program of 1 to 3 months' duration. Level 5: Day Reporting Center o Group counseling five times per week. o Individual counseling a minimum of once per week. o Peer support group once per week. o UAs twice per week. o Community service. o Educational or vocational training. Level 6: Long-term residential o Participation in a long-term residential program of 90 days or greater duration. Enhancements planned as a result of OJP Drug Courts Program Office Grant: Day Reporting Center. ------------------------------ Portland Drug Court Step 1: Arrest and Detention --------------------- Step 2: Initial Screening by DA Intake Staff Screen defendants based on the following criteria: o Defendant is charged with PCS I or PCS II consistent with personal use. o Defendant is not currently participating in S.T.O.P. o No evidence of significant drug dealing on the part of the defendant. o No felony charges pending or charged in the same charging instrument. o State Attorney is not seeking a dispositional departure from the presumptive sentence. o No circumstances indicating inability to succeed (e.g. dual diagnosis). o No hold from another jurisdiction. o Defendant is eligible for pretrial release. o Defendant not charged with DUII in the same charging instrument. o Defendant is not on probation or parole. o No Class A person misdemeanors pending or charged in the same charging instrument. --------------------- Step 3: Arraignment Defendants are advised of their rights. Defendants are offered the opportunity to participate in S.T.O.P. If the defendant declines participation, arraignment procedures continue as usual. If the defendant agrees to consider participation, defendant is referred to the Metropolitan Public Defender for orientation. (Defendant referred to Public Defender even if she or he has a private attorney). --------------------- Step 4: Orientation by the Public Defender Defendant and Public Defender review the case. Defendants are advised of their rights and legal strategies are discussed. Components of the treatment program are described to the defendant, including payment plan and consequences for noncompliance. Schedule for court appearances is described to the defendant. Defendant petitions the court for program entry (Diversion). --------------------- Step 5: Court Hearing for S.T.O.P. Eligibility (Diversion Hearing) The Court formally considers the defendant's petition for program entry (diversion). Court can decline admittance without prejudice based on new information, etc. If the defendant accepts participation and is diverted, then there is a referral to InAct for treatment that begins within 72 hours of the hearing. --------------------- Step 6: Treatment Orientation Defendant is provided with a 3- to 4-hour orientation to the treatment program. Defendant is provided with acupuncture. --------------------- Step 7: Stabilization (for defendants in need) Defendants in need of stabilization enter this pretreatment program. Duration: as long as the need for stabilization continues (decision made jointly by primary and group counselor). Treatment: o Daily acupuncture. o Weekly one-on-one sessions with primary counselor. o Group sessions 3 times per week. Random Drug Testing: at least biweekly. Minimum of monthly court hearings.** Completion criterion: approval of counselors. --------------------- Step 8: Phase I Treatment: Engagement (all defendants) Duration: 5 weeks or 10 sessions. Assessment and evaluation: o Defendants are assessed for drug treatment needs. o Clinical assessment. o Health services assessment. o Treatment plan is developed (updated every month). Treatment: o Acupuncture 3 times per week. o One-on-one sessions at least every other week. o Group session 3 times per week. Random drug testing : twice per month. Minimum of monthly court status hearings.*** Completion Criterion: 90 percent attendance at treatment sessions and completion of any other treatment requirements. --------------------- ** At the Court's discretion, defendents with jobs or who have high attendance or missed no UAs can have their hearings held every 6 weeks. If a defendant has low attendance or misses UAs frequently, then the hearings will be held every 2 weeks. Defendendants performing poorly can be assigned additional time in the program (graduation delayed). *** At the Court's discretion, defendents with jobs or who have high attendance or missed no UAs can have their hearings held every 6 weeks. If a defendant has low attendance or misses UAs frequently, then the hearings will be held every 2 weeks. Defendendants performing poorly can be assigned additional time in the program (graduation delayed). --------------------- Step 9: Phase II Treatment: Addiction and Recovery Training Duration: 32 sessions Treatment: o Optional acupuncture based on assessment by acupuncturist and defendant. o One-on-one sessions at least once per month. o Gender-specific group sessions 2 times per week. Random Drug Testing: at least biweekly. Minimum of Monthly Court Status Hearings.*** Completion Criterion: 80 percent attendance at treatment sessions. *** At the Court's discretion, defendents with jobs or who have high attendance or missed no UAs can have their hearings held every 6 weeks. If a defendant has low attendance or misses UAs frequently, then the hearings will be held every 2 weeks. Defendendants performing poorly can be assigned additional time in the program (graduation delayed). --------------------- Step 10: Phase III Treatment: Life Skills Training and Monitoring Duration: remainder of program. Treatment: o Acupuncture as needed. o One-on-one sessions at least once per month. o Group sessions once per week. o Development of an individual prevention plan. Random Drug Testing: at least biweekly. Minimum of Monthly Court Status Hearings**** Completion Criterion: defendant and counselor agreement and peer evaluation. **** At the Court's discretion, defendents with jobs or who have high attendance or missed no UAs can have their hearings held every 6 weeks. If a defendant has low attendance or misses UAs frequently, then the hearings will be held every 2 weeks. Defendendants performing poorly can be assigned additional time in the program (graduation delayed). --------------------- Step 11: Final Review Defendants nominated for graduation continue in phase III of treatment. Prior to graduation, court supervision can be increased . Case is reviewed; if the defendant qualifies, a graduation ceremony is scheduled. Completion criteria: o Defendant must complete an interview with the aftercare counselor. o 6 consecutive weeks of clean UAs. --------------------- Step 12: Graduation Graduation ceremony for successful defendants is held in the court. o All graduates are encouraged to speak. o All graduates receive a graduation certificate. Dismissal and expungement of the case. --------------------- Step 13: Followup Successful defendants are offered support/aftercare for a period of up to 1 year. Enhancements planned as a result of OJP Drug Courts Program Office Grant: o Family counseling. o Mental health counseling. o Additional aftercare services. --------------------- Las Vegas Drug Court Step 1: Arrest and Detention Possession of a controlled substance (PCS) felonies are usually released without a Pretrial Services interview. All released defendants get Drug Court information in their booking packet. --------------------- Step 2: Initial Screening by Public Defender Defendants are screened based on the following criteria: o Defendant is charged with PCS or Under the Influence of a Controlled Substance. o No prior felony convictions. o No noncriteria offenses currently in the system. Eligible defendants, based on the charge criteria listed above, are referred to the Public Defender for orientation. Additionally, defendants charged with other offenses can enter the Drug Court through a negotiated agreement between the DA and the defense (either public defender or private attorney). If a defendant is negotiated into the Drug Court, he or she receives a date for the initial Drug Court appearance. Finally, offenders can be sentenced to participation in Drug Court as a condition of probation. This typically occurs after the offender has performed poorly on standard probation conditions. Offenders entering the Drug Court in this manner are also provided with a date for their initial Drug Court appearance. --------------------- Step 3: Orientation by Public Defender and Choices for First-Offender PCS Cases Defendants are advised of their rights. Presentation on the Drug Court Program is delivered to prospective defendants by Public Defender and Choices. Preliminary review of criminal history is conducted. Availability of treatment slots is checked. If the defendant declines participation: Procedures continue as usual. If the defendant accepts participation and there are treatment slots available: o Defendants sign the appropriate forms, including waivers. o Defendant petitions the court for program entry. Defendants are given a date for their initial court appearance, and an appointment for the treatment intake assessment is set. --------------------- Step 4: Intake Assessment Defendants are assessed for their treatment needs. Medical assessment is completed. Defendant signs the necessary consent forms. --------------------- Step 5: Initial Court Appearance Judge explains the program. Payment status is established. Date is set for next status hearing. Defendant can opt out of the Drug Court at this hearing without penalty. --------------------- Step 6: Phase I Treatment: Detoxification/Stabilization Duration: minimum of 2 weeks and 5 consecutive clean UAs. Treatment: o Daily group counseling. o One-on-one counseling. o Mandatory daily acupuncture. o Development of initial treatment plan. Drug testing every other day. Court hearings as needed. --------------------- Step 7: Phase II Treatment: Wellness Education Duration: completion of 24 program sessions and 5 consecutive clean UAs. Treatment: o Group meetings three times per week. o One-on-one counseling as needed. o Acupuncture three times per week. o Family counseling. Drug testing every other day. Court hearings as needed.***** ***** Frequency of court hearings depends on the defendant's consistency of attendance and progress in treatment. If the defendant is performing poorly, the frequency of hearings will be increased. --------------------- Step 8: Phase III Treatment: Recovery Duration: until completion of 6 drug-free months or graduation. Treatment: o Group meetings twice per week. o One-on-one counseling as needed. o Family counseling as needed. Drug testing twice per week. Court hearings as needed. --------------------- Step 9: Phase IV Treatment Defendant may not enter phase IV until 6 months of treatment have been completed with negative UAs. Treatment: weekly group meetings. Weekly drug testing. (It is easier for defendants to graduate than to progress to phase IV treatment.) --------------------- Step 10: Graduation Criteria Defendant must: o Make up missed sessions. o Meet financial obligations. o Complete graduation project. Defendant must have clean UAs and attend all treatment sessions for 3 months --------------------- Step 11: Graduation Graduates are recognized during regular Drug Court sessions. Charges are dismissed. --------------------- Step 12: Alumni Group Defendant is offered the opportunity of participating in Drug Court alumni activities. Graduates are encouraged to drop in as needed (there is no formal alumni group). Graduates serve as speakers in treatment group sessions. Enhancements proposed as a result of OJP Drug Courts Program Office Grant: o Child care with educational and treatment services for the children. o Transportation for defendants. o Adult education/GED. o Preemployment training. o Job placement. o ESL classes. o Literacy tutoring. o Improvements to the treatment MIS. --------------------- Pensacola Drug Court Step 1: Arrest and Detention Most arrests (for new crimes or on warrant for prior nonappearance) are by the Pensacola Police Department or by the Escambia County Sheriff's Department. Arrestees are taken to the County Jail. Some are interviewed by the Pretrial Release Unit of the Community Corrections Department (Probation). Others bond out prior to the pretrial interview. --------------------- Step 2: Initial Screening by Pretrial Staff Defendants are screened based on the following offense criteria: o Possession of a controlled substance. o Manufacture of a controlled substance (marijuana growing). o Prescription forgery. o Transporting contraband into jail. Arrestees indentified as potential Drug Court participants are referred directly to the Drug Court Program and will make their first appearance within 48 to 72 hours. --------------------- Step 2A: Screening by State's Attorney, Public Defenders and Judges Assistant State's Attorneys, Public Defenders, and Judges may also refer cases to the Drug Court when they have reason to believe that a defendant's criminal activity may stem from substance abuse. These referrals, often involving defendants with extensive prior records, can take place at any time prior to a trial date (including several weeks after the initial arrest). Offense charges eligible for referral include: o Theft. o Forgeries. o Worthless checks. o Burglaries. o Stolen property. The State's Attorney assigned to the Drug Court reviews the files and criminal histories of defendants in all cases referred for possible admission to Drug Court. Defendants with histories of violent offenses are excluded. If the defendant has few or no prior convictions and no prior felony convictions, then the defendant enters a no-contest plea or plea of guilty. Judgment (sentence) is deferred while the defendant is in the Drug Court Program. Upon successful completion of the Drug Court Program, the charge is dismissed. If the defendant has an extensive prior record (and any prior felony convictions), then the defendant generally pleads guilty. Sentence is imposed, but the incarceration portion (which may be lengthy, especially for defendants with prior felony convictions) is suspended. The defendant is placed on community supervision (probation) with conditions that include participation in the Drug Court Program. If the Drug Court Program is completed successfully, the judge may shorten the sentence and/or terminate the probation. --------------------- Step 3: Community Corrections and Clinical Intake Community Corrections Intake: o Identifying information is confirmed. o Social history and substance abuse history are obtained. o Agreements concerning conditions of supervision and participation are signed. Clinical Intake: o Psychosocial assessment. o Psychiatric assessment (as needed). o Physical assessment (as needed). o Alcohol and other drug history taken. o Discussion of initial treatment plan. o Signatures obtained for the necessary releases. --------------------- Step 4: Phase I Treatment: Day Reporting Duration: minimum of 5 weeks or 20 completed sessions. Treatment: o Report to Day Report Center for 4 hours of programming 4 times per week on either the day or evening tracks (programming includes cognitive restructuring, 12-Step groups, AOD education). o Group sessions 3 times per week. o Acupuncture is not included as part of the treatment regimen. Drug testing: twice per week. Court hearings: once per week. Completion criteria: o Minimum of 20 Day Report programming sessions. o Pattern of clean UAs. --------------------- Step 5: Phase II Treatment: Intensive Outpatient Duration: approximately 3 to 6 months (depending on defendant progress). Treatment: o Minimum of 8 hours of Day Report Center programming per week. o Group sessions twice per week. Drug testing: twice per week or as needed. Court hearings: once every other week. --------------------- Step 6: Phase III Treatment: Outpatient Duration: approximately 6 to 9 months. Treatment: o Minimum of 3 hours of Day Report Center programming per week. o Group sessions once per week (minimum). Drug testing: once per week or as needed. Court hearing: once every 3 weeks. Alcoholics Anonymous or Narcotics Anonymous meetings: twice per week. --------------------- Step 7: Graduation Charges are dismissed for graduates on deferred adjudication. For graduates who have been convicted and sentenced, duration of sentence and probation period may be reduced. Role of probation: A dedicated probation officer works with the Drug Court. The probation officer makes monthly home visits and sees the defendant regularly (twice a month) for office visits. Probation focuses on ensuring that the defendant has sufficient vocational, educational, and employment services. Role of Public Defender: The Public Defender meets with the defendant after review by the District Attorney and explains the Drug Court and the other legal options available, including the legal rights affected by entering the Drug Court. If the defendant on deferred adjudication is successful in the Drug Court, then the Public Defender gets the plea vacated, case dismissed, and court record sealed after the last hearing. If the defendant is not successful in the Drug Court, then the Public Defender represents the defendant at the alternate disposition hearing. For defendants already sentenced, the Public Defender will seek to have the duration of probation shortened and the incarceration portion of the suspended sentence eliminated completely. Graduated sanctions available: o Increased frequency of status hearings. o Increased frequency of UAs. o Increased frequency of treatment. o Increased frequency of 12-Step groups. o Increase court supervision. o Jail or increased jail sentence. o Referral to residential treatment. o Increased length of time in Drug Court.