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DWI Screening & Assessment Protocol for Providers “Off-Site” New York City Criminal Court April 15, 2008

Introduction The following information is provided to give providers and license professionals (“Providers”) an understanding of what is expected of them when New York City Criminal Court (“Criminal Court”) refers a defendant for screening and/or assessment pursuant to New York State Vehicle and Traffic Law’s recent DWI amendments.1 Referral Every Criminal Court defendant ordered to complete a screening and/or assessment will receive two pieces of paper

1. Notice of Court Ordered Alcohol and Substance Abuse Screening and/or Assessment (Appendix A); and

2. DWI Screening and Assessment Local Provider List and Instructions (Appendix B)

The Notice of Court Ordered Alcohol and Substance Abuse Screening and/or Assessment will indicate the following information:

1. Defendant’s Name; 2. Type of services (screening and/or assessment) that defendant

must complete; 3. County/Court in which case is pending and returnable; 4. Part to which defendant must return; 5. Date defendant must return to Court; 6. Docket Number; 7. Date by which defendant must contact Provider to arrange for

services [five (5) business days from execution of Order]; 8. Instructions to Defendant; 9. Instructions to Provider on completing services and reporting

results; and 10. Courthouse FAX number where results should be transmitted

1 The New York State Office of Alcohol and Substance Abuse Services is expected to distribute a Local Service Bulletin (LSB) which will fully explain procedures for conducting these services. Much of this protocol relates only to Criminal Court procedures. Should instructions in the LSB contradict protocol listed in this document, providers should follow the procedures laid out in the LSB.

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The DWI Screening and Assessment Local Provider List and Instructions provides instructions to defendant on completing the ordered services. Specifically, it indicates:

1. Website defendant can access to locate agencies and licensed professionals throughout New York State authorized to perform services;

2. Local agencies and professionals that have executed a Memorandum of Understanding with Criminal Court indicating that they are available to accept these types of referrals and that they will comply with OASAS and Court regulations and requirements;

3. Deadline for contacting agencies; 4. How to contact provider to schedule services; 5. Defendant must bring Court Order; and 6. Defendant will be required to pay a fee.

Services A judge may order a defendant to undergo one of two types of services:

1. Screening a. If the “Screening” indicates defendant is not abusing or

dependent upon alcohol or drugs. No further assessment is necessary; or

b. If the “Screening” indicates defendant is abusing or dependent upon alcohol or drugs, then defendant is required to undergo a more rigorous “Assessment.”

i. This assessment may be completed immediately after “Screening.”

2. Assessment

a. If the Judge indicates “Assessment,” provider should forgo the “Screening” and only conduct the more rigorous “Assessment.”

OASAS has determined that Providers should use one of the following five (5) instruments to conduct a court-ordered “Screening:”

1. Alcohol Use Disorders Identification Test (AUDIT); 2. Drug Abuse Screening Test (DAST); 3. Michigan Alcoholism Screening Test (MAST); 4. Research Institute on Addictions Self-Inventory (RIASI); or 5. Simple Screening Instrument for Substance Abuse (SSI)

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OASAS has indicated that Providers should use their discretion in choosing the more rigorous “Assessment.” The general sense is that Providers will conduct the assessment with the instrument they currently use to determine eligibility and services for regular clients seeking treatment. An example of an appropriate assessment instrument is the Addiction Severity Index (ASI). Local Provider List Criminal Court personnel will provide every defendant ordered to undergo screening or assessment with the “Local Provider List and Instructions.” This document clearly states that the defendant may choose any Provider listed on the official OASAS DWI Screening and Assessment Provider List which can be accessed on the internet at www.oasas.state.ny.us. It also gives the defendant the choice to choose a Provider listed on the form. This list will include any OASAS-authorized Provider that has executed a Memorandum of Understanding with Criminal Court and remains in compliance with OASAS and Court rules and regulations. Criminal Court will provide this list to give defendants without access to the internet a listing of local Providers who can conduct these services and have indicated they will comply with Court protocols. Criminal Court will update the Local Provider List on an annual basis. Payment Defendant is solely responsible for paying Provider’s fees for services rendered. OASAS has preliminarily suggested the following fee structure:

Screening – up to $75 Assessment - $150-$300 (depending on the time spent on the

assessment) OASAS has indicated that neither private health insurance nor Medicaid will reimburse for “Screenings” and it is unlikely that “Assessments” will reimbursable. OASAS has suggested the use of a “sliding scale” fee structure for defendants unable to pay full amount. It is within discretion of the Provider to decide method and timing of payment. Results Upon completion of required services, Provider should supply defendant with a receipt indicating the date and type of services competed. The receipt should also include defendant’s name, Court ordering service, return part and docket number. Receipt should have contact information for Provider. Criminal Court strongly suggests using the “Receipt” attached as Appendix C.

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Results of the Screening and/or Assessment must be transmitted to the Court within 30 days to the FAX number indicated on the Court Order. Only the results of the screening and/or assessment (not the actual contents of either interview) should be forwarded to the Court. Criminal Court strongly suggests using the “Results Form” attached as Appendix D. FAX numbers and point persons for each courthouse follow:

Kings (718) 643-5234 Antoinette Harris and Madonna Connor

New York (212) 374-5293 Karen Kosky

Queens (718) 520-4712 Steve Mendelsohn and Carey Wone

Richmond (718) 390-8405 Steve Paradiso and Tony Corvino

Midtown (212) 484-2791 George Rath and Gerard Nigro

Red Hook (718) 923-8269 Xiomara Hinestroza-Bryson and Tom Ferris

Providers must also give defendant or his “authorized representative” a copy of the results. The timing of this is at the discretion of Providers. Confidentiality

The new legislation expressly recognizes the confidentiality of the records and contents of the screenings, assessment and any treatment that may arise from them.2 In addition to the confidentiality protections envisioned by this legislation,

2 VTL 1198-a(6) follows: Confidentiality of records. (a) The records and content of all screenings, assessments and treatment conducted pursuant to this section, including the identity, diagnosis and prognosis of each individual who is the subject of such records, and including any statements or admissions of such individual made during the course of such screenings, assessments and treatment, shall be confidential, shall not be disclosed except as authorized by this subdivision, and shall not be entered or received as evidence at any civil, criminal or administrative trial, hearing or proceeding. No person, other than a defendant to whom such records are disclosed, may redisclose such records. (b) Consistent with Section 290 dd-2 of Title 42 of the United States Code, as such law may, from time to time, be amended, such records and content may only be disclosed as follows: (i) to a court for the sole purpose of requiring a defendant charged with or convicted of a violation of subdivision one, two, two-a, three, four or four-a of section eleven hundred ninety-two of this article to undergo alcohol or substance abuse or dependency assessment or treatment; (ii) to the defendant or his or her authorized representative; and

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providers must also comply with all applicable federal confidentiality regulations. Criminal Court assumes that defendants referred for screening and/or assessment will have to execute a release of confidentiality at providers, prior to the specified interview, allowing the release of the results to the Court. Failure of the defendant to execute the release could constitute a violation of the Court Order. Should the defendant refuse to execute a Release of Confidentiality allowing the Court to review the results of the screening and/or assessment, providers should not proceed with interview. While Criminal Court requests that each provider use its suggested “Consent for the Release of Confidential Information” (Appendix E), Providers may use their own release. Memorandum of Understanding Memorandum of Understanding will give a framework for interaction between Criminal Court and any provider listed in the Court’s Local Provider List and Instructions. This agreement covers:

1. compliance with OASAS regulations; 2. compliance with Court protocols and procedures; 3. reporting procedures; and 4. confidentiality.

Semi-Annual Reporting Criminal Court will require that any Provider placed on its “Local Provider List and Instructions” report basic data on the numbers, types and outcomes of referrals pursuant to VTL §1198-a. Reports should be made twice a year using the Courts standardized form (Appendix F). Contact Information For further information on NYC Criminal Court DWI Screening and Assessment Protocols, contact Justin Barry at jbarry@courts.state.ny.us or 646.386.4708. (rev. 04/15/2008)

(iii) to medical personnel to the extent necessary to meet a bona fide medical emergency.

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Appendix A Notice of Court Ordered Alcohol and Substance Abuse Screening and/or Assessment

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Appendix B DWI Screening and Assessment Local Provider List and Instructions

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Appendix C Receipt Receipt should be on provider’s letterhead.

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Appendix D Results Form

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Appendix E Consent for Release of Confidential Information

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Appendix F Semi-Annual Report