The Journal of The DuPage County Bar Association

Back Issues > Vol. 11 (1998-99)

The New Local Rules Concerning DUI Service Providers and Evaluators
By Honorable Perry R. Thompson
Presiding Judge, Misdemeanor/Traffic Division

New local rules concerning DUI providers and evaluators went into effect on February 29, 1999 for the 18th Judicial Circuit. Chief Judge Thomas Callum requested Judge Perry Thompson, the Presiding Judge of the Misdemeanor and Traffic Division, to answer a few questions concerning the new rules.

Why the New Rules?

Public safety. More specifically to better inform the judges about the defendant’s substance abuse history to arrive at a sentence that reflects the most appropriate punishment and rehabilitation. We hope this will result in safer streets and a reduction in the risk of repeat offenders.

What are the New Rules?

Evaluators must apply to be placed on the courts approved list (DuPage County Court Directory of Authorized and Approved Service Providers). The court will no longer simply accept any OASA (Office of Alcohol and Substance Abuse) approved provider. Exceptions may be made for providers not on the list by court order and on a case by case basis. A prerequisite for any provider is OASA and IAODAPCA (Illinois Alcohol and Other Drug Abuse Professional Certification Association) approval/certification. Moreover, a provider performing an initial evaluation cannot also do the corresponding counseling for that same individual–counseling must be done by another listed provider.

Why Now?

The rule changes arise out of a comprehensive review of the former evaluation system, which evidenced a lack of consistency and completeness by evaluators/providers. The changes are intended to better advise judges issuing JDP’s and handing down sentences. Additionally, evaluations will be required to include a more comprehensive overview of alcohol and drug related criminal activity, not just driving offenses. Furthermore, by requiring different providers to conduct a defendant’s evaluation and counseling, we hope to insure consistency and fairness across the board. The absence of "self-referrals" will also help to ensure the reliability and credibility of our entire process.

The changes are intended to alter the procedural component of alcohol/drug evaluations and counseling, not the substance or treatment compo-
nents–that will remain largely the same as outlined in OASA’s guidelines.

The New Rules Are:

34.01 APPLICABILITY

(A) The provisions of Article 34 shall apply in all cases involving the operation of a motor vehicle under the influence of alcohol or other drug (DUI), whether the offense is charged under the Illinois Vehicle Code (625 ILCS 5/11-501 et seq.) or under a similar local ordinance. Where reasonable, these provisions shall be construed and applied in harmony with the provisions of Articles 30, 31, 32, 33, 35 and 36.

34.02 MONITORING (Adopted effective 11/24/98)

(A) The DuPage County Court Sentence Monitoring Office, 505 N. County Farm Road, Suite 485, Wheaton, IL 60187, shall provide monitoring services to all offenders sentenced to Court Supervision or Conditional Discharge for the offense of driving under the influence of alcohol/drug and/or any charge of reckless driving that is a reduced charge of a DUI.

(a) A minimum of two monitoring sessions will be completed for offenders as above classified.

(i) The first session will include registration to the Court Sentence Monitoring Program, assignment of date to attend Victim Impact Panel, distribution of OASA/Court Authorized List of Approved Providers and review of offenders sentencing order.

(ii) The second monitoring session will occur approximately thirty (30) days prior to the termination of the offender’s Court Supervision or Conditional Discharge to ensure compliance with said orders of Court.

Upon proof of compliance of said orders, the Court Sentence Monitoring Office will send a Certificate of Completion to Court and waive the defendant’s appearance on final court date.

In the event defendant has not complied with said orders of Court, the Court Sentence Monitoring Office will send a status to the Court, advising the Court of non-compliance. The defendant will also be directed to appear in Court on his/her final court date.

34.03 SERVICE PROVIDERS AUTHORIZED TO DISTRIBUTE DUI EVALUATION REPORTS

These rules are developed in order to promote trust and confidence in the personnel providing DUI evaluations, and to give judges accurate information on which to base decisions regarding the issuing of judicial driving permits and/or driving under the influence sentences, thereby promoting public safety and effective sentencing. (Amended effective 3/22/99)

(A) All staff providing direct service will meet graduate level academic standards and/or have specialized training related to cultural issues as acceptable to the court. These degrees will include but not be limited to licensed clinical social worker (LCSW), licensed social worker (LSW), licensed clinical professional counselor (LCPC), licensed professional counselor (LPC) and/or certified alcohol and drug counselor (CADC).

(B) All providers appearing on the Office of Alcohol and Substance Abuse (OASA) DuPage County Court Directory of Authorized and Approved Service Providers shall file a Provider Profile and Consent with the Court Sentence Monitoring Office. Providers shall notify the Court Sentence Monitoring Office in writing in the event of a change of employee’s status, provider, subcontractor or support staff, added or terminated, within ten (10) days of such change. (Amended effective 3/22/99)

(C) There will be provisions made by the service provider to accept up to twenty percent (20%) indigent population as referrals in order to appropriately service the DUI offender population.

(D) Reasonable efforts shall be made to collect fees from the offender prior to completion of services, however, if said fee is not collected by the completion of services, the providers shall not withhold verification of completion from the DuPage County Circuit Court or the Court Sentence Monitoring Office.

(E) Upon completion of evaluation, the authorized provider shall refer DUI defendant to a treatment provider who is on the OASA/Court Service Directory of Authorized and Approved Service Providers, said treatment provider shall be geographically convenient for said defendant. There shall be no self-referrals for purposes of treatment.

(F) All providers appearing on the OASA/Court Service Directory of Authorized and Approved Service Providers shall file a statement of intent to comply with this rule annually on or before December 31 for the ensuing year. The statement must express the Program’s intention to comply with the provisions of the Rules of OASA Regulations, Title 77, Illinois Administrative Code, Chapter X, Subchapter (d), Part 2060 and Circuit Court of DuPage County Rules. The statements shall be filed in the Court Sentence Monitoring Office. Failure to file a statement of compliance will result in the non-acceptance of evaluations and/or treatment verification forms from said Program.

(G) Failure to agree to abide by all OASA Regulations and/or these rules shall form a basis to deny approved provider status. Failure to comply with all referenced rules for providers may result in the termination of the service agreement. The following information is to be forwarded to the Office of the Chief Judge and the Presiding Judge of the Misdemeanor and Traffic Division. (Amended effective 3/22/99)

(a) In every case in which a professional evaluation is conducted in accordance with OASA/Circuit Court of DuPage County Rules, the evaluation and copies shall be provided to the Court and prosecuting authority by the defendant and/or defense counsel. (Amended effective 11/24/98)

(b) In every case in which a disposition is ordered which requires the involvement of the Department of Court Services, the Clerk shall transmit to the Department of Court Services a copy of the complete evaluation report.

(c) In every case in which a disposition is ordered which requires the involvement of the DuPage County Department of Human Resources, Psychological Services Division, the Clerk shall transmit to the Psychological Services Division a copy of the complete evaluation report.

(d) OASA/Court Directory of Authorized and Approved Service Providers who provide services for DUI defendants are hereby authorized to deliver any services that the Court mandates. (Amended effective 11/24/98.

(e) The Court shall recognize OASA/ Court Authorized and Approved Service Providers as being eligible to provide services to DUI defendants. (Amended effective 11/24/98)

(f) OASA Licensed Service Providers who are not on the Court Authorized and Approved Service Providers List may provide services only upon approval of the Court and entry of Court Order. (Adopted effective 11/24/98)

(H) In the event a provider is denied approval or removed from the OASA/Court Authorized List of Approved Providers, that provider may request, in writing, a reconsideration. A provider denied approval or removed from the approval list may petition for approval after a six (6) month period of time. (Adopted effective 3/22/99)

34.04 ALCOHOL/DRUG RELATED PRE-DISPOSITIONAL EVALUATION

(Adopted effective 11/24/98)

(A) An alcohol/drug related offense pre-dispositional evaluation designed to evaluate offender’s risk to public safety and potential for rehabilitation shall be made available to the sentencing court prior to disposition by sentence or order of supervision in the following cases:

(a) Prosecutions for violation of 625 ILCS 5/11-501(a) or a similar provision of a local ordinance.

(b) Prosecution for violations of 625 ILCS 5/11-503 or a similar provision for a local ordinance where the offender was originally arrested or charged with a violation of 625 ILCS 5/11-501(a) or a similar provision of a local ordinance.

(c) Prosecutions for any other offense where at the request of any other party or on the motion of the sentencing judge, it is determined that such information should be disclosed.

(B) The alcohol/drug related pre-dispositional evaluation shall include as minimum requirements the following

(a) A certification by the evaluator as to prior alcohol and/or drug related evaluations or contacts for services. The certification shall include the date and reason for the contact, as well as the nature and extent of services provided.

(b) An alcohol/drug related arrest addendum (Appendix A Criminal Form). A Court Purposes Abstract from the Secretary of State must be attached to this addendum.

(c) An alcohol and drug evaluation in conformance with the requirements set out in Title 77, Part 2060.503 of the Illinois Administrative Code, which shall include the assignment of a specific level of risk as defined by the regulations of the Illinois Department of Human Services, Office of Alcohol and Substance Abuse (OASA Evaluation).

(d) All providers shall use the Driver Risk Inventory (DRI) and the Mortimer/Filkens Test in every evaluation presented to the Court.

In addition, any evaluation of a defendant which classifies the defendant as Minimal Risk or Moderate Risk, which has a combined Mortimer/Filkens score of 40-49, or a Significant Risk on the Alcohol or Drug Scale of the Driver Risk Inventory must attach a detailed explanation as to why the defendant is, at a minimum, not a Significant Risk. Any evaluation with a combined Mortimer/Filkens score of 50 or higher, or a Driver Risk Inventory alcohol or drug risk range of "High" must attach a detailed explanation as to why a High Risk classification is not given.

(e) Additional information as to the basis for a particular recommendation and any other additional information to assist and inform the Court on an Addendum Summary (Appendix B Criminal Forms).

(f) All evaluations shall consist of a face-to-face individual interview. The evaluation shall be conducted at the facility unless otherwise specified by Court.

34.05 TREATMENT COMPLIANCE

(Adopted effective 11/24/98)

Minimal Risk - Program Services:

(A) That the Program shall provide and conduct pursuant to OASA Regulations, Title 77, Illinois Administrative Code, Chapter X, Subchapter (d), Part 2060 and Circuit Court of DuPage County Rules, a comprehensive driving under the influence Minimal Risk Education Course for those DUI defendants and other misdemeanants referred by the Circuit Court of DuPage County to the Court Sentence Monitoring Office wherein the nature of the charge, the conduct of the defendant or a factor to be considered in sentencing is alcohol or drug related; and

(a) The Minimal Risk Education Curriculum shall include:

(i) Information on alcohol as a drug;

(ii) Physiological and pharmacological effects of alcohol and other drugs including their residual impairment on normal levels of driving performance;

(iii) Other drugs, legal and illegal, and their effects on driving when used separately and/or in combination with alcohol;

(iv) Substance abuse/dependence and the effect on individuals and families;

(v) Blood alcohol concentration (BAC) level and its effect on driving performance; and

(vi) Information about Illinois driving under the influence laws and associated penalties.

(B) The Minimal Risk Education course shall include:

(a) A minimum of ten (10) hours of classroom instruction divided into at least four (4) sessions, each of which shall be held on a different date; no session shall exceed three (3) hours in length.

(b) Shall design, administer and grade a pre-test and post-test examination of each client, maintaining and keeping the test and grade in the client’s file.

(c) Discharge the client as successfully having completed the risk education program only when they have:

(i) Attended each session in its entirety and in proper sequence;

(ii) Achieved a post-test score of not less than 75%.

(d) Audio-visual presentations shall not comprise more than 25% of the total class/session time.

(e) Class size shall be in conformity with local fire, building and safety codes/ordinances, and in no event contain more than twenty-four (24) students, exclusive client’s family members.

(f) Develop and provide to each client upon enrollment written polices and procedures governing the following:

(i) Criteria for admission into the program;

(ii) Criteria for involuntary disqualification from the program;

(iii) Responsibilities of client;

(iv) Requirements that client be sober and drug free during class;

(v) An outline of the course, its contents, the costs and class schedules regarding dates given and length/time of each session.

(g) Shall segregate and maintain all class sessions separate from each other, including testing for clients classified as Minimum Risk, Moderate Risk, Significant Risk and High Risk.

(h) Shall give the DuPage County Court Sentence Monitoring Office, 505 N. County Farm Road, Suite 485, Wheaton, IL 60187, the designated monitoring agency, written notice within five (5) calendar days of the fact that a DUI defendant/client has failed to attend any class session, complete the Program’s course or has engaged in a course of conduct resulting in his/her involuntary termination from the Risk Education Program. Further, such written notice shall be given on the OASA form "IL 409-0166 Notice of Involuntary Termination from a Risk Education Program."

(i) Shall provide one (1) OASA approved educational instructor duly qualified pursuant to OASA Regulations, Title 77, Illinois Administrative Code, Chapter X, Subchapter (d), Part 2060, to preside over and conduct each class session of the DUI Risk Education Program Course.

(j) Shall give the Court Sentence Monitoring Office (the designated monitoring agency described in Paragraph (h) above) written verification of each DUI defendant/client’s attendance at and completion of each class session of the Risk Education Program Course through the device of regular transmittal upon completion of each class session.

(k) In all cases wherein the DUI defendant/client shall have been referred to a Risk Education Program as part of the pre-trial or pre-sentence proceedings by any of the judges of the Eighteenth Judicial Circuit Court, DuPage County, Illinois, the Program shall complete and deliver all written reports required by the Court on the date prescribed in said proceedings, including but not limited to, the DUI defendant/client’s progress in the Risk Education Program Course, his/her completion of the course or involuntary discharge therefrom.

(l) The Program Risk Education instructor(s) described in Paragraph (i) above shall appear and give testimonial evidence in all things and matters relating to the duties and services undertaken to be performed under the provisions of this Agreement when duly summoned by the Circuit Court of venue, the Office of the Illinois Secretary of State or the DUI defendant/client.

(m) Shall give the Court Sentence Monitoring Office a written report of the DUI defendant/client’s completion of the Risk Education Program Course(s) within seven (7) working days thereof.

(n) Shall establish a written schedule of fair and reasonable fees, pursuant to OASA Regulations, to be charged the DUI defendant/client including the terms of payment for their course of Risk Education, presentation of court or hearing testimony and readmission to the program.

Moderate Risk - Program Services:

(A) That the Program shall provide and conduct pursuant to its written plan for professional services, OASA Regulations, Title 77, Illinois Administrative Code, Chapter X, Subchapter (d), Parts 2056 and 2058, and the Rules of the Circuit Court of DuPage County, Illinois, a comprehensive Driving Under the Influence Moderate Risk Education course including counseling treatment for those DUI defendants and other misdemeanants referred by the Circuit Court of DuPage County to the Court Sentence Monitoring Office wherein the nature of the charge, the conduct of the defendant or a factor to be considered in sentencing is alcohol or drug related; and

(B) That the Moderate Risk Comprehensive Risk Education course shall minimally meet and include all of the curriculum and course requirements prescribed in this Agreement for the comprehensive Minimal Risk Education Program; and in addition, at a minimum, the Program shall:

(a) Conduct the risk education class sessions and counseling treatment as provided in the Program’s OASA approved operations manual for the structure and procedures to be followed by the Program in the rendition of those educational and treatment services.

(b) In addition to the required minimum ten (10) hours of risk education, provide and render to the DUI defendant/client a minimum of twelve (12) hours of early intervention as defined in Section (1) provided over a minimum of four (4) weeks with no more than three (3) hours per day in any seven (7) consecutive days; subsequent completion of any and all necessary treatment; and after discharge, active ongoing participation in all activities specified in the continuing care plan if so recommended following completion of the early intervention.

(c) Defendant shall not attend any Risk Education class on the same date as any treatment or continued care session.

That the above prescribed treatment/counseling sessions shall be designed and calculated to address and treat that specific client’s needs based upon the nature and extent of his/her substance use/abuse; his/her physical, emotional and/or social dysfunction arising from said substance use or dependence; the probability of his/her continuing such use or dependence and his/her potential for repetition of the sanctioned conduct, having due consideration for his/her strengths and weaknesses.

(d) Shall segregate and maintain all class sessions, including testing, for clients classified as Minimum Risk, Moderate Risk, Significant Risk and High Risk separate and apart from one another.

Significant Risk - Program Services:

(A) That the Program shall provide and conduct, pursuant to its written plan for professional services, OASA Regulations, Title 77, Illinois Administrative Code, Chapter X, Subchapter (d), Part 2060, and the Rules of the Circuit Court of DuPage County, Illinois, a comprehensive driving under the influence Significant Risk Education course, including counseling treatment, individual or group, for those DUI defendants and other misdemeanants referred by the Circuit Court of DuPage County, Illinois to the Court Sentence Monitoring Office of said Court, wherein the nature of the charge, the conduct of the DUI defendant or a factor to be considered in sentencing is alcohol or drug related.

That the Significant Risk Education Course shall minimally meet and include all of the provisions, education course curriculum and course requirements hereinbefore prescribed for the Minimal Risk and Moderate Risk Education Program; and further at a minimum the Program shall:

(a) Conduct the risk education class sessions and counseling treatment as provided in the Program’s DASA approved operations manual for the structure and procedures to be followed and used by the Program in the rendition of those educational and treatment services.

(b) In addition to the required minimum of ten (10) hours of Risk Education, provide and render to the DUI defendant/client a minimum of twenty (20) hours of alcohol, drug and substance abuse outpatient treatment/counseling in an individual, group or family setting, divided into at least seven (7) sessions, each of which shall be held on a different date and not on the same date as any Risk Education class session attended by the DUI defendant/client and no such session shall exceed three (3) hours in length; and

That the above prescribed treatment/counseling sessions shall be calculated and designed to address and treat the individual’s specific needs based upon the nature and extent of his/her substance use/abuse; his/her physical, emotional and/or social dysfunction arising from said substance use or dependence; the probability of his/her continuing such use or dependence and his/her repetition of the sanctioned conduct, having due regard and consideration for his/her strengths and weaknesses.

(c) Mixing or combining of any of the several specific levels of risk DUI defendant/clients attending any class or test session is wholly prohibited. The Program shall segregate all class and test sessions so as to insure that only those identically classified as to their level of risk are in attendance at each session.

(d) In addition to the required ten (10) hours of Risk Education and twenty (20) hours of substance abuse treatment, the DUI defendant/client shall complete an additional six (6) months of care; said care to be completed as follows: One (1) time per month a two (2) hour session or two (2) times per month a one (1) hour session, either individual or group sessions. Defendant will be discharged by Program only upon completion of said additional six (6) months of care and only in the event Defendant qualifies for said discharge.

(e) The Program shall develop and provide to the DUI defendant/client at the time he/she is discharged/terminated from the Program as having satisfactorily completed the same a written aftercare plan for his/her continuing treatment which:

(i) Identifies his/her progress with regard to the objectives of the treatment program;

(ii) Summarizes the Program’s conclusions, including general observations and understanding of his/her condition and assessed needs at the time of said discharge/termination;

(iii) Which shall have been developed with the participation of the DUI defendant/client, their family, guardian or significant other when those persons have participated in his/her treatment;

(iv) Which plan is calculated to and offers him/her continued assistance and activities determined by the Program to support and enhance goals achieved in treatment;

(v) The plan shall specify ongoing activities including self-help, group involvement if necessary, and that ongoing activities in the continuing care plan are executed in a written contract between provider and defendant; and

(vi) Copies of said plan shall be attached to the discharge/termination report provided by the Program to the DuPage County Court Sentence Monitoring Office, 505 N. County Farm Road, Suite 485, Wheaton, IL 60187.

High Risk - Program Services:

(A) That the Program shall provide and render the services offered pursuant to its OASA licensure OASA approved written plans for professional services, annual service plan, OASA Regulations, Title 77, Illinois Administrative Code, Chapter X, Subchapter (d), Part 2060 and the Rules of the Circuit Court of DuPage County, Illinois, to the DUI defendant/client and other misdemeanants, wherein the nature of the charge, the conduct of the defendant, or a factor to be considered in sentencing is alcohol or drug related, ordered by the Court to enroll in and complete a program of such services as offered by an OASA/Court Directory of Authorized and Approved Service Providers, and that said comprehensive treatment service programs shall include, but are not limited to, the following:

(B) For a client with identified symptoms of dependence:

(a) A comprehensive treatment program of not less than seventy-five (75) hours of intensive outpatient or outpatient substance abuse services, rendered at the rate of not less than nine (9) hours per week; and upon completion of said comprehensive treatment service program shall be followed by an aftercare plan (Amended effective 3/22/99); or

(b) A residential or inpatient substance abuse comprehensive program of treatment services rendered at the rate of not less than twenty-five (25) hours per week; and upon completion thereof, shall be followed by an aftercare plan.

(C) For a client without identified symptoms of dependence, a comprehensive outpatient program of treatment service of not less than seventy-five (75) hours rendered at a rate of not less than nine (9) hours per week; and upon completion thereof shall be followed by an aftercare plan. That said treatment program shall include further assessment and counseling of the client designed to identify and change the disorder giving rise to the high risk behavior which may include but is not limited to referrals for psychological testing, physical examinations and other appropriate mental health services calculated to identify and reduce or eliminate the high risk behavior. (Amended 3/22/99)

(D) For all High Risk clients, in addition to the required treatment hours, the DUI defendant/client shall complete an additional twelve (12) months of care, said care to be completed as follows: One (1) time per month a two (2) hour session or two (2) times per month a one (1) hour session, either individual or group sessions. Defendant will be discharged by Program only upon completion of said additional twelve (12) months of care and only in the event Defendant qualifies for said discharge.

34.06 JUDICIAL DRIVING PERMIT

(A) The alleged DUI offender may file a Petition for Judicial Driving Permit to Relieve Undue Hardship. In any case in which such a petition has been filed, the Court may conduct a hearing on such petition at any time after a professional evaluation of the accused’s drug or alcohol use has been made. Where practicable, the hearing on the petition for a JDP should be conducted on the same day as the hearing to review the summary suspension. Any alcohol and drug evaluation summary prepared in any DUI case shall be impounded.

(B) Where appropriate, the Court may order the issuance of a JDP under such terms and conditions as the Court deems appropriate.

34.07 ARRAIGNMENT

(A) The arraignment dates for DUI cases shall be set by the arresting law enforcement agency. The arraignment date shall not be less than twenty-six (26) days nor more than forty-two (42) days from the date of arrest. The police officer setting the arraignment date shall take into consideration the following information:

(1) The arresting officer’s regular traffic court date;

(2) Any scheduled vacation of the arresting officer;

(3) Any scheduled training of the arresting officer; and

(4) Any Court holiday.

(B) If any return date would fall on an official Court holiday, the police officer shall set the next working court date for the arraignment.

(C) The arresting officer shall be available in the courtroom on the date set for arraignment. Failure of the date set for arraignment. Failure of the officer to appear pursuant to Rule 34.07 shall be considered by the Court to be the same as the failure of the complaining witness to appear in criminal proceeding and may be cause for dismissal.

Honorable Perry R. Thompson is the Presiding Judge of the Misdemeanor/Traffic Division. He received his Undergraduate Degree in 1992 from Kenyon College and his Law Degree in 1975 from Washington and Lee University School of Law.


 
 
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