J John Sebastian Attorney Lawyer J John Sebastian Attorney Lawyer J John Sebastian Attorney Lawyer J John Sebastian Attorney Lawyer J John Sebastian Attorney Lawyer J John Sebastian Attorney Lawyer J John Sebastian Attorney Lawyer

1. City of Lackawanna
DRUG COURT POLICY AND PROCEDURE MANUAL
ESTABLISHED 1/96 BY
Honorable Frederic Marrano
Revised 9/04

2. TABLE OF CONTENTS
TABLE OF CONTENTS…………………………………………………………………….
FORWARD…………………………………………………………………………………..
INTRODUCTION……………………………………………………………………………
I. CURRENT ELIGIBLITY STANDARDS…………………………………………..
II.
III. SUITABILITY STANDARDS……………………………………………………….
IV.
III. DRUG COURT OPERATIONS…………………………………………………….
IV.
A. All Involved Agencies
B. Intake/Referral
C. The Courtroom
D. Program Fees
E. Progressive Sanctions
F. Data Collection & Program Evaluation
I. TREATMENT………………………………………………………………………..
II.
A. The Treatment Program
B. The Treatment Provider
I. ROLE OF THE JUDGE…………………………………………………………….
APPENDICES……………………………………………………………………………….
Appendix A Drug Court Docket/Case Processing
Appendix B Drug Court Policy re: Urine Results and Statements
FORWARD

3. The purpose of the following document is to provide a general framework of common principles, policies and
practices for the Lackawanna Treatment Court (LTC). This structure of standards and practices will:
Maximize limited resources and ensure greater coordination among all court-supervised drug treatment
programs throughout Erie and Niagara Counties;
Maximize coordination and sharing of scarce treatment resources;
Strengthen efforts to obtain Federal funding;
Facilitate development of coordinated long-range plans for financing drug court operations; and
Implement Ten Key Components of a successful Drug court as written by OJP/DCPO.
Developed through a consensus of involved countywide agencies, the standards include all of the elements that are
considered essential to the operation of a Drug Court Program in Erie and Niagara Counties. Collectively, they
represent a required minimum program model. Specific practices are also described to provide examples of action,
which should be taken to ensure conformity with country wide standards. The standards and practices described in
this document is the product of over two years of experience in planning and implementing the city’s first Drug
Court Program, which began operation in 1/96.
Clearly, there are and will continue to be differences between individual Drug Court Programs. All programs are
intended to reflect the unique needs and operational environments of the local court jurisdictions. However, it is
also clear that there is a need for overall uniformity as to basic program components and operational procedures
and principles. Therefore, this document is an attempt to outline those fundamental standards and practices to
which all Drug Court Programs in the Eighth Judicial District should subscribe.

4. INTRODUCTION
A Drug Court is a court that has been specifically designed and staffed to supervise non-violent drug
dependent defendants who have been referred to a comprehensive and judicially-monitored program of
drug treatment and rehabilitation services.
Based on an innovative program that was first developed in Miami, Florida, the Drug Court concept has received
widespread attention as an effective treatment strategy for drug-involved criminal offenders.
Drug Courts represent a very non-traditional approach to criminal offenders who are addicted to drugs. Rather
than focusing only on the crimes they commit and the punishments they receive, Drug Court also attempts to solve
some of their underlying problems.
Drug Courts are built upon a unique partnership between the criminal justice system and drug treatment
community, one that structures treatment intervention around the authority and personal involvement of a single
Drug Court Judge. Drug Courts are also dependent upon the creation of a non-adversarial courtroom atmosphere
where a single judge and a dedicated team of court officers and staff work together toward a common goal of
breaking the cycle of drug abuse and criminal behavior.
Because of the unique problems and opportunities that present themselves in working with drug-involved criminal
defendants, treatment and rehabilitation strategies must be “reality-based.” Drug Court programs must therefore
recognize that:
Addicts are most vulnerable to successful intervention when they are in the crisis of initial arrest and
incarceration, so intervention must be immediate and upfront.
Preventing gaps in communication and ensuring offender accountability are of critical importance, so court
supervision must be coordinated and comprehensive.
Addiction to drugs is a long-standing, debilitating condition, so treatment must be long-term and comprehensive.
Addiction to drugs seldom exists in isolation from other serious problems, which undermine rehabilitation, so
treatment must include integration of other available services and resources such as educational assessments,
vocational assessments and training and job placement.
Relapse and intermittent progress are part of the recovery process, so progressive sanctions and incentives
must be integral to the Drug Court treatment strategy.

5. Although individual Drug Court Programs will vary, the goals common to all are to:
Reduce participant contacts with the criminal justice system;
Reduce costs associated with criminal case processing and re-arrest;
Reduce jail overcrowding;
Introduce participants to an ongoing process of recovery designed to achieve total abstinence from illicit/illegal
drugs; and
Promote self-sufficiency and empower substance abusers to become productive and responsible members of
the community.

6. I. CURRENT ELIGIBILITY STANDARDS
Standard: Consideration for admission to the Drug Court Program shall be limited to
those defendants who:
Have been arrested and charged with
a. Misdemeanor and/or felony drug possession. Felony offenses considered are those for criminal possession of
a controlled substance in the third degree, in violation of section 220.16-1 of the NYS penal law, where the
amount seized is less than 300 milligrams; and criminal possession of a controlled substance in the fifth
degree, in violation of section 220.06-5 of the penal law, where the amount seized is less than 1000
milligrams. Misdemeanor offenses that may be included for participation are to include drug-related petit
larceny, prostitution, trespass and other forms of theft related offenses.
b. Do not qualify under the above, but are deemed suitable by the drug court team as appropriate for court
monitored treatment.
Have violated probation on prior conviction(s) of the NYS penal law.
Practices:
1. Defendants with a prior conviction for a violent offense, and/or a current charge of a violent offense, and/or
drug trafficking/sales are ineligible.
2. The admission of a defendant to the Drug Court Program shall be made by the Drug Court Judge only. This determination shall be
made based on recommendations from the District Attorney, Public Defender, Drug Court Coordinator and the Treatment
Counselor.

7. II. SUITABILITY STANDARDS
Standard: LTC Treatment staff shall assist the Drug Court Judge in
determining the overall suitability of defendants for the program by completing
a standardized Drug Court Screening for eligible defendants
Practices:
1. Risk assessment factors contributing to admission to the Drug Court Program include family and community
ties, employment status, and a summary of the defendant’s prior criminal history for offenses other than
those which would “automatically” exclude him/her but which may be helpful in determining suitability for
the Drug Court Program. Consideration of risk assessment factors is discretionary and shall be used by the
Drug Court Judge on a case-by-case basis.
Standard: The Drug Court Treatment Staff under the supervision of the Drug Court Coordinator shall
assist the Drug Court judge in determining the overall suitability of defendants for the
program by interviewing eligible defendants and summarizing any background and/or drug
history information which may bear on the individual’s potential for success in the intensive
drug court treatment program
Standard: Defendants currently on methadone maintenance shall be considered unsuitable candidates
for the program, since a principle goal of Drug Court is to help defendants achieve and
maintain a drug free lifestyle. Individuals who are prescribed methadone as a means of
detoxification shall be considered on a case by case basis.

8. I. DRUG COURT OPERATIIONS
A. ALL INVOLVED AGENCIES
Standard: All agencies will cooperate with efforts to establish qualified Drug
Court programs which meet the standards for operating and
administering a Drug Court
Standard: Each agency shall assign staff, and alternates, to be dedicated to the
Drug Court based on personal interest in the program, interpersonal
skills, motivation, and professional abilities
Standard: All agencies agree to provide orientation and mandatory training for
assigned staff in the Drug Court concept and the day-to-day operation
Standard: All the participating agencies agree to support qualified Drug Court

9. Programs by making appropriate adjustments to internal policies, practices, and procedures
to ensure successful day-to-day operations of the program.
Practices:
1. The sponsoring municipal court, the District Attorney, Public Defender, local law enforcement, Sheriff, NYS
OASAS, and the Eighth Judicial District office will, where appropriate:
a. Provide administrative support for the development and compliance with agency-wide, uniform policies and
procedures for all Drug Court operations
b. Encourage agency-wide communication and cooperation between dedicated Drug Court personnel
c. Develop agency-wide procedures to collect and maintain statistical and evaluation information based upon countywide standards
d. Establish a jurisdictional Memorandum of Understanding (MOU), based on the established countywide MOU, with all
agencies/departments to ensure the continuity of all legal policies and other standards necessary to the operation of Drug Court.

10. A. INTAKE/REFERRAL
Standard: Defendants in custody will be referred to drug court within the statutory
time frame required for arraignment
Practices:
1. The Court coordinator and/or court staff will ensure that the appropriate parties are involved with the timely
assessment of the Drug Court candidates prior to Drug Court referral
2. The Court coordinator and/or court staff will provide a packet to the Drug Court Judge of all essential documents including:
Pretrial Eligibility Assessment
Treatment Suitability Assessment
Case file (Original or facsimile copies)
3. If accepted, defendants will be sent immediately to the treatment center/ program where orientation will begin
Standard: At the discretion of the Drug Court Judge, formal admission into the
program may be deferred subject to successful completion of a 2-week
“Trial Period”
Practices:
1. In order to “pass” the 2-week trial phase, the Drug Court Judge will advise the defendant that he/she must:
a. Attend initial program orientation
b. Attend scheduled treatment sessions
c. Comply with all drug testing requirements
d. Return to court as ordered
e. Attend special monitoring, as ordered by the court and facilitated by TASC and/or Probation.
f. Verify attendance at Self-help at the frequency the court orders.

11. A. THE COURTROOM
Standard: The court recognizes the drug court calendar as a priority and will
establish a specialized, separate court, on a part or full time basis,
dedicated to the evaluation, treatment and supervision of eligible and
suitable drug court defendants
Standard: The Drug Court clerk, as an agent of the Judge and the Court Coordinator, shall keep the Drug Court
operations separate, ensure that all Drug Court cases are processed in an efficient manner and gather
daily statistics to document the success or failure of the Drug Court.
Practices:
1. Drug Court sessions will include the admittance and orientation of new participants into the Program in
conjunction with progress reports of defendants previously admitted.
2. The Clerk’s Office will provide clerical support for the operation of the Drug Court and process all Drug Court cases as priority.
Clerical support will include the timely preparation of court files, Drug Court eligibility roster, courtroom calendars, computer
entries and collection of data to document the success or failure of Drug Court. All docket/case processing shall follow common
practices and protocols. (See Appendix A).
3. A Court Administrator/Chief Clerk, necessary to the overall operation of the Drug Court, may be designated to oversee all clerical
and management aspects of the Drug Court and participate in all Committee meetings.
Standard: Pursuant to the written policies of the Public Defender and District
Attorney, urinalysis results shall only be used to evaluate the
participant’s progress in the Drug Court Program. (See Appendix B
For policy).
Standard: Pursuant to the written policies of the Public Defender and District
Attorney, statements made by Drug Court participants shall not be
used in subsequent adversarial proceedings. (See Appendix B for
policy).
Standard: All treatment related documents, including progress reports, test
results, etc. shall be placed in a confidential envelope. Envelope
shall be ordered sealed at conclusion of Drug Court Program.

12. A. PROGRAM FEES
Standard: All drug court participants are required to access any and all forms of insurance. This
insurance may include public benefits made available to the defendant in their county of
origin/residence.
Practices:
1. The treatment provider, in collaboration with the Drug Court Judge and program coordinator, will establish
administrative and bookkeeping procedures to ensure collection of fees and regular reports to the Court.
2. Full payment of the fee must be satisfied prior to graduation unless waived by the Drug Court Judge.
A. PROGRESSIVE SANCTIONS
Standard: The Drug Court program must include a plan for graduated
sanctions which may be applied as an immediate and direct
consequence of program failure.
Practices:
The Drug Court Judge, at his discretion, may employ the following graduated sanctions to assist
defendants in complying with the program:
Increased drug testing
Increased participation in outpatient individual and/or group sessions
Increased frequency of court appearances before the Drug Court Judge
Commitment to community residential treatment for a specified period of time
Detention for a brief period of time to be determined by the Drug Court Judge

13. A. DATA COLLECTION & PROGRAM EVALUATION
Standard: LTC shall utilize a automated data collection and program evaluation process which will conform to
requirements as established by the Drug Court Oversight Subcommittee and the standards set forth by
OJP/DCPO. The system to be utilized is the UTA.
Standard: The Drug Court Program shall utilize a competitively bid Drug Court Evaluator who will assist in the
collection of and maintain the statistical data for the program, and provide ongoing progress reports as
requested.
Practices:
The design of Drug Court data base systems shall include:
Maximum utilization of existing countywide justice information systems and system interfaces
Maximum utilization of existing County data communication networks
Minimum reliance on manual data entry and report generation to reduce redundancy and errors
Safeguards to ensure data integrity for all affected systems
Safeguards to ensure privacy and security of all records
Standard: The LTC, following program start-up, shall recognize a 6-month “Demonstration
period” for statistical purposes, during which time data collection efforts shall focus on
defining the participant population and identifying critical operational issues.
Practices:
A 6-month demonstration period shall be established to:
Identify implementation issues
Make adjustments to program operations and policies
Establish and “fine tune” all of the needed program components
Establish management information procedures
Establish problem solving procedures to address unanticipated developments

14. I. TREATMENT
A. THE TREATMENT PROGRAM
Standard: All Drug Court participants shall be offered a comprehensive and
integrated program of drug treatment and rehabilitation services to
be supervised by the Drug Court Judge.
Standard: Individualized treatment plans for participants shall consist of several
distinct phases, each of which shall have specified treatment objectives,
therapeutic and rehabilitative activities and requirements for
“Graduation”.
Practices:
Establish minimum program elements for each treatment phase that include but are not limited to:
a. Phase One – Stabilization, Orientation and Assessment
i. Orientation/Overview of Program
ii. Assessment and initial treatment plan development
iii. Individual and group counseling sessions
iv. Regular attendance at Self-help meetings (3 per week or as specified by counselor)
v. Urinalysis testing (2 tests per week minimum)
vi. Recreation fellowship
vii. Advancement criteria:
a.) No positive urinalysis results after clean result for a two week period;
b.) No unexcused absences from scheduled services for a two week period; and
c.) Employed or positive response to vocational/educational
goals
d.) If applicable, full compliance with all community residence rules.
viii. Average completion period – 2 to 8 weeks

15. a. Phase Two – Intensive Treatment
i. Individual and group counseling
ii. Emphasis placed on vocational/educational counseling and referral
iii. Urinalysis testing (2 times per week minimum)
iv. On-going review and updating of treatment/transition plans
v. Continued attendance at Self-help meetings (2 times per week or as specified by counselor)
vi. Recreation/fellowship
vii. Advancement criteria:
a.) No positive urinalysis results since clean date for 60 consecutive days;
b.) No unexcused absences from urinalysis testing for 60
consecutive days;
c.) No unexcused absences from scheduled services ;
d.) Employed or positive response to vocational/educational
goals, and
e.)Demonstrated adjustment to treatment
viii. Average completion period – 12 to 16 weeks

16. a. Phase Three – Transition
i. Individual and group counseling
ii. On-going review and updating of treatment/transition plans
iii. Urinalysis testing (1 time per week, as well as random)
iv. Continued attendance at Self-help meetings (2 per week or as
specified by counselor)
v. Recreation/fellowship
vi. Greater emphasis on the progress of vocational/educational plans
vii. Advancement criteria:
a.) No positive urinalysis results;
b.) No unexcused absences from urinalysis testing;
c.) No unexcused absences from scheduled services;
d.) Employed or positive response to vocational/educational
goals; and
e.) Fulfillment of goals as stated in individual’s master
treatment plan.
viii. Average Completion period – 12 to 16 weeks
Standard: “Graduation” from each phase shall ONLY be determined by the
Drug Court Judge and on the condition that the participant has
satisfied the established minimum criteria for advancement
Standard: Although actual length of treatment program for each participant
will vary greatly depending upon individual progress and drug test
results, the total period for treatment and court supervision SHALL
NOT BE LESS THAN One (1) Year
Standard: Termination from the program shall ONLY be determined by the
Drug Court Judge with appropriate input from the Court Coordinator, treatment
provider, District Attorney and Public Defender.

17. A. THE TREATMENT PROVIDER
Standard: The Drug Court Program shall utilize only established drug treatment
Agencies which are licensed and/or certified by the State.
Standard: The treatment provider shall designate a specific staff person – and a
designated alternate – to serve as liaison to the Drug Court and to
ATTEND ALL Drug Court sessions
Standard: Prior to a judicial determination of acceptance into the Drug Court
Program, the treatment team shall provide the court with a
written screening form verifying the “suitability” of the defendant for the
program
Practices:
1. “Suitability” for the Drug Court Program should be limited to persons who:
a. Are willing to comply with the court order to drug treatment;
b. Are 18 years or older ( unless otherwise requested by parent and/or guardian);
c. Have a history of substance abuse;
d. Do not have a history of violence;
e. Are not acutely mentally ill or suicidal; and
f. Are able to physically participate in treatment activities (within guidelines of American Disabilities Act).
1. All involved agencies will cooperate with the treatment provider to ensure reasonable and timely access to incarcerated defendants
by the court liaison counselor to potential Drug Court participants.
Standard: Prior to completion of the initial phase of treatment, the treatment provider shall
prepare an initial assessment and treatment plan for each Drug Court participant.
Standard: Prior to each Drug Court appearance, the treatment provider shall
submit to the Court a summary progress report which documents
drug test results, compliance with treatment appointments and any
relevant case information which can be appropriately shared with
the Judge in open court.
Standard: The treatment provider shall maintain for each participant confidential
case management documentation including, but not limited to; initial
assessments and treatment plans, progress notes, services provided,
attendance records and drug test results.

18. Standard: The treatment provider shall collaborate with the Drug Court Judge,
District Attorney and Public Defender to develop and implement a
plan for urinalysis drug testing of participants during specified
mandatory visits to the treatment facility.
Practices:
The treatment provider shall:
a. Contract with a laboratory or conduct urine drug testing that meets the minimum standards for federal agencies.
b. Develop policies and procedures to ensure security and reasonable controls to deter tampering or misrepresentation of specimens or
test results.
c. Develop procedures to ensure that the participant is tested whenever there is a mandatory treatment center visit and that the
frequency of tests is appropriate for the treatment phase and in accordance with the orders of the Drug Court Judge.
d. Maintain and secure test result records for each defendant and develop a reporting format and procedure for presenting testing
results to the Drug Court Judge prior to all scheduled court appearances.
e. Communicate urinalysis results to each client during their visit to the treatment center.
f. If applicable, Treatment provider will collaborate with Community Residence for all residents treatment
planning to allow for maximum compliance with all treatment goals.
Standard: The treatment provider, in collaboration with the Drug Court Judge and
County and Town departments, shall establish a localized network of
public and private agencies through memoranda of understanding or
other formal agreements to provide support services to participants
which at a minimum include housing, individual assessments,
education, vocational training, and job placement.

19. V. ROLE OF THE JUDGE:
Standard: The focus and direction of a drug court program are provided through
the effective leadership of a single drug court judge.
Practices:
1. The Judge is in a unique position to exert effective leadership in the promotion of coordinated drug control efforts.
2. To encourage full commitment to the success of a Drug Court Program, the Judge must allow program staff to participate fully in the
design and implementation of the program.
3. Partnerships should be formed between the Judge, all affected criminal justice agencies and the treatment provider; which will allow
collaboration in decision-making, sharing of resources and coordination of efforts.
4. The Judge is responsible for maintaining a non-adversarial atmosphere in the Drug Court. All staff must see their job as the
facilitation of the participant’s rehabilitation.
5. The Judge must be one of the key motivational factors to convince the drug offender to seek rehabilitation. Less formal and more
frequent court appearances must be scheduled to allow the judge to motivate and monitor the participants.
6. The Judge should conduct court such that all participants benefit by observation of others as they progress (or fail to progress) in
treatment and the Court takes appropriate action.
7. The Drug Court Judge must be willing to serve as program advocate. He/She will, represent the program in the community, before
government, criminal justice agencies, and other public forums. He/She will be willing to seek funding for the program.

20. APPENDICES
A. Drug Court Docket/Case Processing
B. Drug Court Policy re: Urine Results and Statements

21. APPENDIX A
DRUG COURT DOCKET/CASE PROCESSING
DAY 1-2 Arraignment
District attorney and defense counsel discusses referral to Drug Court, if agreeable, a joint recommendation is
made to the arraigning Judge for referral to Drug Court.
Arraigning Judge refers case for an appearance before the Drug Court Judge.
DAY 2 Processing
Defendant appears before the Drug Court Judge and is advised of the plea offer, open discovery by District
Attorney, treatment recommendations, and waivers of speedy trial and waiver of felony hearing, waiver of
confidentiality, Drug Court Contract, and the assessment process.
Drug Court Judge refers defendant to formal assessment at treatment provider’s facility.
Assessing treatment provider will begin the assessment and provide to the court at the next appearance a
completed assessment that will include recommendations related to housing, health, education, employment,
and training.
DAY 2-14 Acceptance
All parties agree on conditions of enrollment
Drug Court contract signed along with the form clearly identifying non-compliance and the sanctions
administered by the Drug Court Judge for the same.
All waivers are signed
Court schedule is prepared, with a minimum of a weekly report to the Drug Court until defendant’s positive
participation warrants a reduction of frequency.
Defendant may exercise option to return to criminal court without reprisal/penalty.
DAY 14 to COMPLETION
Treatment to continue with defendant and treatment provider reporting regularly to court

22. APPENDIX B
DRUG COURT POLICY
RE: URINE RESULTS AND STATEMENTS
URINE RESULTS
Urinalysis results will only be used to assist the court and health care providers in evaluating the client’s progress.
The results will only be used to determine if the defendant is progressing satisfactorily; to determine if the
treatment plan needs modifying; or, as an aid, in determining whether the individual should be terminated or
graduated from the program. Therefore, under no circumstances shall urinalysis results be used as evidence of a
new crime, a violation of probation or in any other manner not consistent with the goals of the Drug Court.
STATEMENTS
The primary purpose of this program is treatment. Therefore, any statements made by a defendant participating in
the program shall not be used against him or her in any subsequent adversarial proceeding. However, spontaneous
statements made by the defendant in open court, which refer to unrelated felonious criminal activity and which are
not related to the defendant’s participation in the Drug Court program, may be admissible in other criminal
proceedings and such admissibility shall be determined in an evidentiary hearing according to the Rules of
Evidence.