substance abuse treatment tip 44

8/17/2019 Substance Abuse Treatment TIP 44

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A TreatmentImprovement

Protocol

Substance Abuse TreatmentFor Adults in the Criminal

Justice System

TIP

44

U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration

Center for Substance Abuse Treatment

www.samhsa.gov

CJrCRIMINAL

JUSTICE


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U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES

Public Health ServiceSubstance Abuse and Mental Health Services AdministrationCenter for Substance Abuse Treatment

1 Choke Cherry RoadRockville, MD 20857

Substance Abuse

TreatmentFor Adults in the CriminalJustice System

A Treatment

ImprovementProtocol

TIP

44

Roger H. Peters, Ph.D.Consensus Panel Co-Chair

Harry K. Wexler, Ph.D.

Consensus Panel Co-Chair


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Acknowledgments

Numerous people contributed to the develop-ment of this TIP (see pp. xi–xiv and appendicesD, E, F, and G). This publication was pro-

duced by The CDM Group, Inc. under theKnowledge Application Program (KAP) con-tract, number 270-99-7072 with the SubstanceAbuse and Mental Health ServicesAdministration (SAMHSA), U.S. Departmentof Health and Human Services (DHHS). KarlD. White, Ed.D., and Andrea Kopstein,Ph.D., M.P.H., served as the Center forSubstance Abuse Treatment (CSAT)Government Project Officers. ChristinaCurrier served as the CSAT TIPs Task Leader.Rose M. Urban, M.S.W., J.D., LCSW, CCAC,

CSAC, served as the CDM KAP ExecutiveDeputy Project Director. Elizabeth Marshserved as the CDM KAP Deputy ProjectDirector. Shel Weinberg, Ph.D., served as theCDM KAP Senior Research/AppliedPsychologist. Other KAP personnel includedRaquel Witkin, M.S., Deputy ProjectManager; Susan Kimner, Managing Editor;Deborah Steinbach, M.A., Editor/Writer;Janet Humphrey, M.A., Editor/Writer;Michelle Myers, Quality Assurance Editor; andElizabeth Plevyak, Editorial Assistant. In addi-

tion, Sandra Clunies, M.S., I.C.A.D.C., servedas Content Advisor. Catalina Bartlett, M.A.,Janet Dinsmore, B.A., J. Max Gilbert, M.A.,Annette Kornblum, M.S., Joyce Latham, HelenOliff, B.A., CEC, Susan Paisner, M.A., andDavid Sutton, B.A., were writers. Specialthanks go to Gary Field, Ph.D., for his consid-erable contribution to this document.

Disclaimer

The opinions expressed herein are the views of the Consensus Panel members and do not nec-essarily reflect the official position of CSAT,SAMHSA, or DHHS. No official support of orendorsement by CSAT, SAMHSA, or DHHSfor these opinions or for particular instru-ments, software, or resources described in thisdocument are intended or should be inferred.

The guidelines in this document should not beconsidered substitutes for individualized clientcare and treatment decisions.

Public Domain NoticeAll materials appearing in this volume exceptthose taken directly from copyrighted sourcesare in the public domain and may be repro-duced or copied without permission fromSAMHSA/CSAT or the authors. Do not repro-duce or distribute this publication for a feewithout specific, written authorization fromSAMHSA’s Office of Communications.

Electronic Access and Copies

of PublicationCopies may be obtained free of charge fromSAMHSA’s National Clearinghouse for Alcoholand Drug Information (NCADI), (800) 729-6686 or (301) 468-2600; TDD (for hearingimpaired), (800) 487-4889, or electronicallythrough the following World Wide Web site:www.samhsa.gov/centers/csat/csat.html.

Recommended Citation

Center for Substance Abuse Treatment.Substance Abuse Treatment for Adults in the

Criminal Justice System. TreatmentImprovement Protocol (TIP) Series 44. DHHSPublication No. (SMA) 05-4056. Rockville,MD: Substance Abuse and Mental HealthServices Administration, 2005.

Originating Office

Practice Improvement Branch, Division of Services Improvement, Center for Substance

Abuse Treatment, Substance Abuse and MentalHealth Services Administration, 1 ChokeCherry Road, Rockville, MD 20857.

DHHS Publication No. (SMA) 05-4056Printed 2005

ii Acknowledgments


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Contents

What Is a TIP? ........................................................................................................ixConsensus Panel ......................................................................................................xi

KAP Expert Panel and Federal Government Participants ..............................................xiii

Foreword...............................................................................................................xv

Executive Summary ...............................................................................................xvii

Chapter 1—Introduction............................................................................................1

Overview..................................................................................................................1The Purpose of This TIP .............................................................................................3

Key Definitions..........................................................................................................4Audience for This TIP.................................................................................................5Contents of This TIP...................................................................................................5

Chapter 2—Screening and Assessment..........................................................................7

Overview..................................................................................................................7Definitions of Terms....................................................................................................7

Screening Guidelines...................................................................................................9Assessment Guidelines................................................................................................10Key Issues Related to Screening and Assessment...............................................................13Areas To Address in Screening and Assessment ................................................................18

Selection and Implementation of Instruments ..................................................................33Screening and Assessment Considerations for Specific Populations .......................................36Integrated Screening and Assessment—Sample Approaches ................................................39

Conclusions and Recommendations...............................................................................40

Chapter 3—Triage and Placement in Treatment Services ...............................................43

Overview ................................................................................................................43Treatment Levels and Components................................................................................43

Potential Barriers to Triage and Placement.....................................................................47Creating a Triage and Placement System ........................................................................47Compiling Information To Guide Triage and Placement Decisions.........................................49

Conclusions and Recommendations...............................................................................56

Chapter 4—Substance Abuse Treatment Planning .........................................................59

Overview ................................................................................................................59

Assessing the Severity of Substance Use Disorders ............................................................60Assessing the Severity of Co-Occurring Disorders .............................................................60Criminality and Psychopathy ......................................................................................63Client Motivation and Readiness for Change ...................................................................65

Implementing an Effective Treatment Planning Process .....................................................67Conclusions and Recommendations...............................................................................70

Chapter 5—Major Treatment Issues and Approaches.....................................................71

Overview ................................................................................................................71Clinical Strategies .....................................................................................................72

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iv

Program Components and Strategies .............................................................................84Conclusions and Recommendations...............................................................................90

Chapter 6—Adapting Offender Treatment for Specific Populations ..................................93

Overview ................................................................................................................93Treatment Issues Related to Cultural Minorities ...............................................................93

Women’s Treatment Issues ..........................................................................................95Men’s Treatment Issues.............................................................................................101Working With Violent Offenders .................................................................................102

Treatment Issues Based on Client’s Sexual Orientation.....................................................104Treatment Issues Based on the Client’s Cognitive/Learning, Physical, and Sensory Disabilities ..105Treatment Issues for Older Adults ...............................................................................107Treatment Issues for Clients From Rural Areas ..............................................................107

Treatment Issues for People With Co-Occurring Substance Use and Mental Disorders .............108People With Infectious Diseases ..................................................................................116Sex Offenders.........................................................................................................119Conclusions and Recommendations .............................................................................122

Chapter 7—Treatment Issues in Pretrial and Diversion Settings.....................................125

Overview...............................................................................................................125Introduction ..........................................................................................................125

Characteristics of the Population ................................................................................126Treatment Services in the Pretrial Justice System ...........................................................127Trial and Postverdict Periods.....................................................................................130

Diversion to Treatment .............................................................................................131What Treatment Services Can Reasonably Be Provided in the Pretrial Setting?......................138Treatment Issues .....................................................................................................143Developing Pretrial Treatment Services ........................................................................146

Resources..............................................................................................................151

Conclusions and Recommendations .............................................................................154Chapter 8—Treatment Issues Specific to Jails.............................................................157

Overview...............................................................................................................157Definitions.............................................................................................................157Trends..................................................................................................................158

Treatment Services in Jails ........................................................................................159Description of the Population.....................................................................................159Key Issues Related to Treatment .................................................................................163What Treatment Services Can Reasonably Be Provided in a Jail Setting?..............................166

Coordination of Jail Treatment Services .......................................................................175Examples of Jail Treatment Programs ..........................................................................183

Research Related to Jail Treatment .............................................................................184Recommendations for Treatment Providers ...................................................................185

Chapter 9—Treatment Issues Specific to Prisons ........................................................187

Overview...............................................................................................................187

Description of the Population.....................................................................................187Treatment Services in Prisons ....................................................................................190

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Key Issues Affecting Treatment in Prison Settings ...........................................................190What Treatment Services Can Reasonably Be Provided in the Prison Setting? .......................194

In-Prison Therapeutic Communities ............................................................................199Specific Populations in Prisons...................................................................................204Systems Issues ........................................................................................................207

Recommendations and Further Research......................................................................210

Chapter 10—Treatment for Offenders Under Community Supervision ............................213Overview...............................................................................................................213

The Population.......................................................................................................214Levels of Supervision ...............................................................................................214Treatment Levels and Treatment Components ................................................................214What Treatment Services Can Reasonably Be Provided for People Under

Community Supervision? .......................................................................................218Treatment Issues for People Under Community Supervision..............................................220Treatment Issues Specific to People on Parole................................................................226Treatment Issues Specific to Probationers .....................................................................229

Strategies for Improving System Collaboration...............................................................229Sample Programs ....................................................................................................231Conclusions and Recommendations .............................................................................233

Chapter 11—Key Issues Related to Program Development...........................................235

Overview...............................................................................................................235Reconciling Public Safety and Public Health Interests .....................................................235

Interdependence of Criminal Justice and Treatment Systems .............................................236Program-Level Coordination......................................................................................242Research and Evaluation ..........................................................................................247Cost Issues.............................................................................................................251

Key Goals of SAMHSA .............................................................................................252

Conclusions ...........................................................................................................252Appendix A: Bibliography ......................................................................................255

Appendix B: Glossary ...........................................................................................291

Appendix C: Screening and Assessment Instruments ...................................................303

Appendix D: Resource Panel...................................................................................309

Appendix E: Cultural Competency and Diversity Network Participants ...........................313

Appendix F: Special Consultants ..............................................................................315

Appendix G: Field Reviewers...................................................................................317

Index ..................................................................................................................321

CSAT TIPs and Publications....................................................................................335

Figures

Figure 2-1. Screening Guidelines by Domain....................................................................11

Figure 2-2. Screening Guidelines by Setting.....................................................................12Figure 2-3. Recommended Substance Abuse Screening Instruments ......................................19Figure 2-4. Instruments for Evaluating Readiness for Treatment..........................................23

Figure 2-5. Instruments for Screening and Assessing Mental Disorders ..................................25Figure 2-6. Instruments Examining Psychopathy and Risk for Violence and Recidivism.............32

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Figure 3-1. Placement and Triage Strategies ....................................................................50Figure 4-1. Client’s Recovery Plan (CRP).......................................................................68

Figure 5-1. Common Thinking Errors............................................................................75Figure 5-2. Strategies for Working With Offenders Based on Their Stage in Recovery ...............84Figure 6-1. Traits of ASPD (DSM-IV)...........................................................................113

Figure 6-2. Borderline Personality Disorder ..................................................................114Figure 7-1. Substance Abuse Treatment Planning Chart for Treatment-Based Drug Courts .......134Figure 8-1. Treatment Components..............................................................................168Figure 8-2. Goals of the Treatment and Corrections System in the Jail Setting........................176

Figure 8-3. Targeted Treatment for Special Populations Versus Mainstream Treatment forLarger Populations ..................................................................................178

Figure 8-4. Varied Opinions Regarding Medication Use for Inmates in Jail Treatment Programs 180Figure 9-1. Reasons for Limitations to Providing Treatment to Prison Inmates.......................191

Figure 9-2. Guidelines for Substance Abuse Treatment in Correctional Facilities ....................192Figure 9-3. Stay’n Out Program Outcomes ....................................................................202Figure 10-1. Comparison of Probationers and Parolees ....................................................215Figure 10-2. Paradigm of Collaboration........................................................................230

Figure 11-1. CSAT Criminal Justice Treatment Planning Chart ..........................................238Figure 11-2. Barriers to Effective Treatment..................................................................243Figure 11-3. Outcome Information...............................................................................250

Figure 11-4. Definition of Terms .................................................................................251

Advice to the Counselor Boxes

Chapter 2

Screening and Assessment...........................................................................................13The Need to Rescreen................................................................................................16

Screening for Detoxification ........................................................................................21Screening for Co-Occurring Disorders ...........................................................................27

Screening for Trauma ................................................................................................29Screening for Psychopathy..........................................................................................30Screening Specific Populations.....................................................................................38

Chapter 3

Triage and Placement ................................................................................................49

Chapter 4

Mental Health Issues .................................................................................................61

Borderline Personality Disorder...................................................................................63Psychopathy............................................................................................................65Motivation for Change ...............................................................................................66

Chapter 5 Homelessness...........................................................................................................73Criminal Thinking ....................................................................................................74

Family Involvement...................................................................................................78Addressing the Coerced Client .....................................................................................80Establishing Boundaries .............................................................................................81Establishing Counselor Credibility................................................................................83

Spiritual Approaches.................................................................................................89

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Chapter 6

Culture and the Counselor ..........................................................................................95

Treating Female Offenders ..........................................................................................97Parent Training ......................................................................................................100Rural Clients, Rural Counselors .................................................................................108

“Good” and “Bad” Drugs..........................................................................................111Infectious Diseases...................................................................................................118

Chapter 7

General Considerations for Working With Clients in the Criminal Justice System ...................127

Diversion to Treatment Decision Points ........................................................................128Information Management During the Pretrial Stage.........................................................130Operating in a Pretrial Setting....................................................................................143

Addressing the Client’s Immediate Needs ......................................................................144

Chapter 8

Jailed Clients .........................................................................................................165

Cross-Training........................................................................................................179

Chapter 9

Prison Treatment Approaches ....................................................................................198

Heading Off Noncompliance.......................................................................................209

Chapter 10

Recommended Treatment Services for People Under Community Supervision........................221

Treatment Issues for People Under Community Supervision..............................................225Treatment Issues for People on Parole .........................................................................229

Contents vii


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What Is a TIP?

Treatment Improvement Protocols (TIPs), developed by the Center for

Substance Abuse Treatment (CSAT), part of the Substance Abuse andMental Health Services Administration (SAMHSA) within the U.S.Department of Health and Human Services (DHHS), are best-practiceguidelines for the treatment of substance use disorders. CSAT draws onthe experience and knowledge of clinical, research, and administrativeexperts to produce the TIPs, which are distributed to facilities and indi-viduals across the country. The audience for the TIPs is expandingbeyond public and private treatment facilities to include practitioners inmental health, criminal justice, primary care, and other healthcare andsocial service settings.

CSAT’s Knowledge Application Program (KAP) expert panel, a distin-

guished group of experts on substance use disorders and professionals insuch related fields as primary care, mental health, and social services,works with the State Alcohol and Drug Abuse Directors to generate topicsfor the TIPs. Topics are based on the field’s current needs for informationand guidance.

After selecting a topic, CSAT invites staff from pertinent Federal agenciesand national organizations to be members of a resource panel that recom-mends specific areas of focus as well as resources that should be consid-ered in developing the content for the TIP. These recommendations arecommunicated to a consensus panel composed of experts on the topic whohave been nominated by their peers. This consensus panel participates ina series of discussions. The information and recommendations on whichthey reach consensus form the foundation of the TIP. The members of each consensus panel represent substance abuse treatment programs, hos-pitals, community health centers, counseling programs, criminal justiceand child welfare agencies, and private practitioners. A panel chair (or co-chairs) ensures that the contents of the TIP mirror the results of thegroup’s collaboration.

A large and diverse group of experts closely reviews the draft document.Once the changes recommended by these field reviewers have been incor-

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x What Is a TIP?

porated, the TIP is prepared for publication,in print and online. The TIPs can be accessedvia the Internet at www.kap.samhsa.gov. Theonline TIPs are consistently updated and pro-vide the field with state-of-the-art information.

While each TIP strives to include an evidencebase for the practices it recommends, CSATrecognizes that the field of substance abusetreatment is evolving, and research frequentlylags behind the innovations pioneered in thefield. A major goal of each TIP is to convey“front-line” information quickly but responsi-bly. For this reason, recommendations prof-fered in the TIP are attributed to eitherPanelists’ clinical experience or the literature.If research supports a particular approach,

citations are provided.

This TIP, Substance Abuse Treatment for Adults in the Criminal Justice System, revisesand supersedes TIP 7, Screening and Assessment for Alcohol and Other Drug Abuse

Among Adults in the Criminal Justice System,

TIP 12, Combining Substance Abuse Treatment With Intermediate Sanctions for

Adults in the Criminal Justice System, and TIP17, Planning for Alcohol and Other Drug Abuse Treatment for Adults in the Criminal

Justice System. The revised TIP provides thecurrent clinical evidence-based guidelines,tools, and resources necessary to help sub-stance abuse counselors treat clients involvedwith the criminal justice system.


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Consensus Panel

Co-Chair

Roger H. Peters, Ph.D.

ProfessorDepartment of Law and Mental HealthFlorida Mental Health InstituteUniversity of South FloridaTampa, Florida

Co-Chair

Harry K. Wexler, Ph.D.

Senior Principal InvestigatorNational Development and Research

Institute, Inc.New York, New York

Workgroup Leaders

Steven R. Belenko, Ph.D.

National Center on Addiction and SubstanceAbuse

Columbia UniversityNew York, New York

Nahama Broner, Ph.D.

Senior Research PsychologistCenter for Crime, Violence and Justice

ResearchNew York, New York

Christopher J. Geiger

Vice President/Director of Criminal JusticePrograms

Walden House, Inc.San Francisco, California

Kevin Knight, Ph.D.

Research ScientistTexas Christian UniversityFort Worth, Texas

Michael D. Link, M.C.J.

Chief Division of Treatment and PlanningOhio Department of Alcohol and Drug

Addiction ServicesColumbus, Ohio

Henry Jay Richards, Ph.D.

Associate Professor

University of WashingtonSeattle, Washington

Sally J. Stevens, Ph.D.

Research ProfessorSocial and Behavioral SciencesSouthwest Institute for Research on WomenUniversity of ArizonaTucson, Arizona

Panelists

Elaine AbrahamProgram Developer/ConsultantNational Development and Research, Inc.Chula Vista, California

E. Bernard Anderson, Jr., M.S., M.A.,

NCAC, ICADC, CCSRegional AdministratorCorrectional TreatmentFlorida Addictions and Correctional

Treatment Services, Inc.Tallahassee, Florida

Annabelle Casas-Mendoza, M.A.

Family Treatment Drug Court65th District CourtEl Paso, Texas


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Deion Cash

Executive DirectorCommunity Treatment & Correction

Center, Inc.Canton, Ohio

Kimberly S. Hee, M.A.

Grants Program SpecialistOffice of the MayorCriminal Justice PlanningLos Angeles, California

Mack Jenkins, B.A.

Division DirectorAdult Court ServicesOrange County Probation DepartmentSanta Ana, California

Carl G. Leukefeld, D.S.W.

DirectorCenter on Drug and Alcohol ResearchUniversity of KentuckyLexington, Kentucky

Erik J. Roskes, M.D.

DirectorForensic Treatment and Correctional ServicesSchool of MedicineSpringfield Hospital CenterSykesville, Maryland

Consensus Panel


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Barry S. Brown, Ph.D.

Adjunct ProfessorUniversity of North Carolina at WilmingtonCarolina Beach, North Carolina

Jacqueline Butler, M.S.W., LISW, LPCC,

CCDC III, CJS

Professor of Clinical PsychiatryCollege of Medicine

University of CincinnatiCincinnati, Ohio

Deion Cash

Executive DirectorCommunity Treatment and Correction

Center, Inc.Canton, Ohio

Debra A. Claymore, M.Ed.Adm.

Owner/Chief Executive OfficerWC Consulting, LLC

Loveland, Colorado

Carlo C. DiClemente, Ph.D.

ChairDepartment of PsychologyUniversity of Maryland Baltimore CountyBaltimore, Maryland

Catherine E. Dube, Ed.D.Independent ConsultantBrown UniversityProvidence, Rhode Island

Jerry P. Flanzer, D.S.W., LCSW, CAC

Chief, ServicesDivision of Clinical and Services ResearchNational Institute on Drug AbuseBethesda, Maryland

Michael Galer, D.B.A.

Chairman of the Graduate School of BusinessUniversity of Phoenix—Greater Boston

CampusBraintree, Massachusetts

Renata J. Henry, M.Ed.

DirectorDivision of Alcoholism, Drug Abuse,

and Mental HealthDelaware Department of Health and SocialServices

New Castle, Delaware

Joel Hochberg, M.A.

PresidentAsher & PartnersLos Angeles, California

Jack Hollis, Ph.D.

Associate Director

Center for Health ResearchKaiser PermanentePortland, Oregon

Mary Beth Johnson, M.S.W.

DirectorAddiction Technology Transfer CenterUniversity of Missouri—Kansas CityKansas City, Missouri

Eduardo Lopez, B.S.

Executive Producer

EVS CommunicationsWashington, DC

Holly A. Massett, Ph.D.

Academy for Educational DevelopmentWashington, DC

KAP Expert Panel and FederalGovernment Participants


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Diane Miller

Chief Scientific Communications BranchNational Institute on Alcohol Abuse

and AlcoholismBethesda, Maryland

Harry B. Montoya, M.A.

President/Chief Executive OfficerHands Across CulturesEspanola, New Mexico

Richard K. Ries, M.D.

Director/ProfessorOutpatient Mental Health ServicesDual Disorder Programs

Seattle, Washington

Gloria M. Rodriguez, D.S.W.

Research ScientistDivision of Addiction ServicesNJ Department of Health and Senior ServicesTrenton, New Jersey

Everett Rogers, Ph.D.

Center for Communications ProgramsJohns Hopkins UniversityBaltimore, Maryland

Jean R. Slutsky, P.A., M.S.P.H.

Senior Health Policy AnalystAgency for Healthcare Research & QualityRockville, Maryland

Nedra Klein Weinreich, M.S.

PresidentWeinreich CommunicationsCanoga Park, California

Clarissa Wittenberg

DirectorOffice of Communications and

Public LiaisonNational Institute of Mental HealthKensington, Maryland

Consulting Members

Paul Purnell, M.A.

Social Solutions, L.L.C.Potomac, Maryland

Scott Ratzan, M.D., M.P.A., M.A.

Academy for Educational DevelopmentWashington, DC

Thomas W. Valente, Ph.D.

Director, Master of Public Health ProgramDepartment of Preventive

MedicineSchool of Medicine

University of Southern CaliforniaAlhambra, California

Patricia A. Wright, Ed.D.

Independent ConsultantBaltimore, Maryland

KAP Expert Panel and Federal Government Participants


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The Treatment Improvement Protocol (TIP) series supports SAMHSA’smission of building resilience and facilitating recovery for people with orat risk for mental or substance use disorders by providing best-practicesguidance to clinicians, program administrators, and payors to improve thequality and effectiveness of service delivery, and, thereby promote recov-ery. TIPs are the result of careful consideration of all relevant clinical andhealth services research findings, demonstration experience, and imple-mentation requirements. A panel of non-Federal clinical researchers, clin-icians, program administrators, and client advocates debates and discuss-

es its particular areas of expertise until it reaches a consensus on bestpractices. This panel’s work is then reviewed and critiqued by fieldreviewers.

The talent, dedication, and hard work that TIPs panelists and reviewersbring to this highly participatory process have helped to bridge the gapbetween the promise of research and the needs of practicing clinicians andadministrators to serve, in the most scientifically sound and effective ways,people who abuse substances. We are grateful to all who have joined withus to contribute to advances in the substance abuse treatment field.

Charles G. Curie, M.A., A.C.S.W.

Administrator

Substance Abuse and Mental Health Services Administration

H. Westley Clark, M.D., J.D., M.P.H., CAS, FASAM

DirectorCenter for Substance Abuse TreatmentSubstance Abuse and Mental Health Services Administration

Foreword


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Executive Summary

For men and women whose struggle with substance abuse brings them into

contact with the legal system, the personal losses can be enormous: fami-lies can break apart, health deteriorates, freedom is restricted, and far toooften, lives are lost. But this is just the beginning of the potential devasta-tion. Personal costs to the victims of crime are immeasurable. The effectsof every theft, burglary, and violent crime reverberate throughout thewhole community. Economic losses include the costs of arresting, process-ing, and incarcerating offenders, as well as the costs of police protection,increased insurance rates, and property losses.

Strong empirical evidence over the past few decades consistently hasshown that substance abuse treatment reduces crime. For many people inneed of alcohol and drug treatment, contact with the criminal justice sys-

tem is their first opportunity for treatment. A substance use disorder maybe recognized and diagnosed for the first time, and legal incentives toenter substance abuse treatment sometimes motivate the individual tobegin recovery. For other offenders, arrest and incarceration are part of arecurring cycle of drug abuse and crime. Ingrained patterns of maladap-tive coping skills, criminal values and beliefs, and a lack of job skills mayrequire a more intensive treatment approach, particularly among offend-ers with a prolonged history of substance abuse and crime.

This TIP was developed to provide recommendations and best practiceguidelines to counselors and administrators based on the research litera-ture and the experience of seasoned treatment professionals. It covers thefull range of criminal justice settings and all the phases through which anindividual progresses in the criminal justice system. It addresses both clin-ical and programmatic areas of treatment. The consensus panel definedthe areas highlighted below as important in efforts to achieve the treat-ment objectives of recovery and a life in the community for everyone.


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xviii Executive Summary

Screening andAssessmentA vital first step in providing substance abusetreatment to people under criminal justicesupervision is to identify offenders in need of treatment. In the criminal justice system,screening often is equated with “eligibility,”and assessment often is equated with “suitabili-ty.” To do this effectively, the consensus panelrecommends that protocols be developed todetermine which offenders need substanceabuse treatment, assess the extent of theirtreatment needs, and ensure that they receivethe treatment they need. Obtaining accurateand reliable information during screening and

assessment can be a challenge; offenders do notalways accurately report drug or alcohol prob-lems. Other collateral sources of information(e.g., drug test results, correctional records)can be combined with self-report informationto make referral decisions. For example, inmany correctional facilities, urine tests areused to flag the need for treatment—even whenan offender denies recent substance abuse.

Many offenders who abuse substances have co-occurring mental disorders that can make

treatment more complex. They should there-fore be screened for other psychological oremotional problems. Offenders who are initial-ly assessed as having symptoms of co-occurringdisorders should be evaluated over an extendedperiod of time to determine whether thesesymptoms resolve in the absence of substanceuse.

A significant number of offenders who abusesubstances also have histories of trauma andphysical or sexual abuse. Screening and assess-ment of a history of physical and sexual abuseshould be conducted routinely, particularly insettings that include female offenders. Staff training is needed to develop effective inter-viewing approaches related to the history of abuse, counseling approaches for addressingabuse and trauma issues, and in making refer-rals to mental health services.

Triage and Placementin Treatment ServicesInformation obtained in screening and assess-ment is used to place offenders in the treatmentprogram that is best suited to their needs. Moreoffenders can receive appropriate treatment if a range of substance abuse treatment options isprovided in criminal justice settings, particu-larly in institutions and community settingswhere offenders are supervised for long periodsof time. In addition to key information regard-ing substance abuse problems, risk for criminalrecidivism, and mental health problems, triageand placement decisions also should considerthe offender’s motivation and readiness for

change, the length of sentence or incarceration,history of previous treatment, violence poten-tial, and other related security or managementissues. The consensus panel recommends thatin general, offenders who have moderate-to-high levels of substance abuse problems andcriminal risk should be prioritized for place-ment in substance abuse treatment services,rather than in other types of institutional pro-grams.

Treatment PlanningAfter placement, a treatment plan is developedthat specifies which services the offender-clientneeds, at what level of intensity, and which of the available resources (e.g., personal, pro-gram-based, or criminal justice) will be mostbeneficial. The treatment plan takes into con-sideration the severity of substance abuse-related problems and the presence of co-occur-ring mental disorders because these influencethe treatment approach. Also important arefactors such as criminal attitudes and psy-chopathy, which may suggest persistent crimi-nality unrelated to the need to maintain a drughabit. The degree to which an individual ismotivated and ready for change is another crit-ical factor that will determine whether motiva-tional enhancement interventions, sanctions, ormore self-directed treatments are appropriate.Finally, personal strengths are taken into


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xixExecutive Summary

account in planning. The offender should beinvolved in the treatment planning process.

The most effective treatment programs havethe resources necessary for comprehensive

assessment and treatment planning activitiesincluding adequate staffing, clerical support,and access to computers and managementinformation systems that contain informationregarding the offender. Mechanisms for sharinginformation among agencies will expedite treat-ment as clients move through the criminal jus-tice system. For example, monitoring, consulta-tion, and written agreements are needed todefine the types of information that will beshared, with whom, and under what circum-stances. Procedures that ensure the smooth

and timely flow of relevant information willenable staff to proceed with treatment withoutinterruption. Effective management informa-tion systems allow for access to clinical infor-mation as well as other offender data. At thesame time, however, confidentiality regulationsrequire that clinical information be maintainedseparately from the corrections or supervisioncase files, and access to clinical files be restrict-ed to staff who have primary clinical responsi-bilities.

Major TreatmentIssues and ApproachesClients under criminal justice supervisionshare many of the same clinical issues faced byothers receiving substance abuse treatment,but some are unique. For example, manyoffenders have problems with the very issuesthat brought them to the attention of lawenforcement, particularly, criminal thinkingand values. These clients often have problems

dealing with anger and hostility and have thestigma of being criminals, along with the guiltand shame that accompany this stigma. Theiridentity as criminals may need to be offset byexposure to more prosocial values and identi-ties such as those of family member and wageearner.

Adapting OffenderTreatment for SpecificPopulations

General clinical strategies for working withoffender-clients include interventions toaddress criminal thinking and to provide basicproblemsolving skills; however, substanceabuse treatment approaches should be modi-fied to meet specific client needs. Because of their histories or life experiences, certain popu-lations are recognized as having somewhat dif-ferent treatment needs. For example, peoplefrom cultural minorities have had differentstresses from those in the majority culture.Women are more likely to have been trauma-

tized by physical and sexual abuse than menand to have urgent concerns about their chil-dren. Offenders with co-occurring substanceuse and mental disorders need help that inte-grates treatment for both. Other groups withspecific needs include older adults, violentoffenders, people with disabilities, and sexoffenders.

Treatment Issues

Specific to Pretrial andDiversion SettingsTreatment varies not only because of the specif-ic population to which an offender belongs butalso because of a client’s stage in the criminal justice system. After arrest and before trial, alarge number of individuals move relativelyquickly through the system, and many differentagencies are involved with each case and itssupervision. If offered, the offender may optfor treatment instead of formal charges, trial,

sentencing, incarceration, or to reduce thelength of incarceration.

Variations in local prosecution and diversionpractices may affect a jurisdiction’s ability todevelop criminal justice and treatment link-ages. Not all jurisdictions have established pro-cedures or programs for individuals who abusesubstances; those jurisdictions that do haveprograms to treat offenders often maintain


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such programs with limited resources.However, the pressure of overcrowded jailsand prisons is serving to expand and institu-tionalize programs for drug treatment in pre-trial and diversion settings nationwide. Still,

outside of formal drug court and diversion pro-grams, treatment access is limited. Types of treatment used in the pretrial setting are neces-sarily brief and include brief motivationalinterventions, behavior contracts, and refer-rals to detoxification and other services. Avariety of sanctions also are available.

In the pretrial setting, the question of an indi-vidual’s guilt or innocence has not been legallydetermined. It is vitally important, therefore,to note that treatment should not compromise

the due process rights of defendants.Treatment professionals need to bear in mindthe presumption of innocence that exists duringthe pretrial period. Defendants’ due processrights affect what they are willing to agree toand the type of information that they are will-ing to disclose. Defendants should not becoerced into waiving due process rights,although a court may order substance abusetreatment as a condition of pretrial release.

Treatment IssuesSpecific to JailsThose incarcerated in jails are undergoing sig-nificant stress related to arrest, the uncertain-ties of their legal situation, and the potentialloss of their job or custody of their children.Appropriate treatment services for these indi-viduals are based on the expected duration of incarceration and the information obtainedfrom screening for a variety of possible prob-lems. Brief treatment (less than 30 days) usual-

ly focuses on supplying information and mak-ing referrals but can include motivational inter-viewing. Short-term programs (1–3 months)have the time to work on communication, prob-lemsolving, and relapse prevention skills; intro-duce anger management techniques; andencourage participation in self-help groups.

Longer term programs (3 months–1 year) canprovide additional skills training, vocationaland educational activities, and examine crimi-nal thinking errors. The consensus panel rec-ommends that jail staff implement discharge

planning that includes gathering informationregarding the need for a range of communityservices, including housing and health care.

Treatment IssuesSpecific to PrisonsThe unique characteristics of prisons haveimportant implications for developing andimplementing treatment programs. In-prisondrug abuse treatment, particularly when fol-

lowed by community-based continuing caretreatment, has been credited with reducingshort-term recidivism and relapse rates amongoffenders who are involved with drugs. Morerecently, the sustained effects on longer termoutcomes have been documented by studiesindicating that 9–12 months of prison treat-ment followed by at least 3 months of communi-ty treatment are needed to produce significantimprovement and reductions in recidivism andrelapse. Because of the comparative stability of the prison population, several treatment

options of differing intensities can be madeavailable. The full range of services can beoffered, including comprehensive assessment;treatment planning; placement; group, individ-ual, family, and specialty group counseling;self-help groups; educational and vocationaltraining; and planning for transition to thecommunity. Therapeutic communities (TCs)are among the most successful in-prison treat-ment programs. They are highly structured,hierarchical, and intense interventions lasting a

minimum of 6 months. TC participants livetogether, often separate from the general prisonpopulation, and take responsibility for theirrecovery process. Participants work at increas-ingly more responsible positions as they learnself-sufficiency and become competent.

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xxi

Treatment forOffenders UnderCommunity

SupervisionParolees and probationers are both under com-munity supervision; nonetheless, they generallyrepresent different ends of the criminal justicecontinuum. Whereas parolees are serving aterm of conditional supervised release followinga prison term, probationers are under commu-nity supervision instead of a jail or prisonterm. Both parolees and probationers generallycan be controlled and managed effectively by acombination of treatment and surveillance

while under community supervision at a farlower cost than incarceration in jail or prison.The level of supervision varies according toindividual circumstances, including the termsunder which probation or parole was granted.Offenders under community supervision inurban areas who have substance use disordershave available several levels treatment andsupervision, including residential, outpatient,halfway, and day reporting centers. Paroleesmay have difficulty meeting their basic needswhen they are released and benefit from case

management services to help with housing andemployment. Reunification with family mem-bers and social support may also prove prob-lematic.

Relapse prevention is extremely important forthose under community supervision. Relapse,which is not unusual, can be met by increasedsupervision and an intensification of the levelof treatment. Likewise, the intensity of supervi-

sion and treatment should decrease as the indi-vidual meets treatment goals. For both paroleesand probationers, reassessment should be peri-odically conducted throughout the phase of community supervision. Following their contactwith the criminal justice system, both paroleesand probationers benefit from continuing con-tact with the substance abuse treatment systemas a means of reducing relapse and recidivism.

Key Issues Related toProgram DevelopmentOffender-clients will best be served by sub-stance abuse treatment and criminal justicesystems that are working together to help themin recovery and in becoming law-abiding citi-zens. This requires leaders in both systems whopromote their mutual goals, endorsement formutual goals from leaders, clarification of thegoals, and recruitment of stakeholders in pur-suit of the goals. The challenge for substanceabuse treatment practitioners and criminal jus-

tice professionals is to work together to providea coordinated response to ensure that offend-ers’ needs are addressed while protecting pub-lic safety.

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1 Introduction

In ThisChapter…

The Purpose of This TIP

Key Definitions

Audience for This TIP

Contents of This TIP

When the prison gates slam behind an inmate, he does not lose his

human quality; his mind does not become closed to ideas; his intellect

does not cease to feed on a free and open interchange of opinions; his

yearning for self-respect does not end; nor is his quest for self-realiza-

tion concluded. If anything, the needs for identity and self-respect are

more compelling in the dehumanizing prison environment.

—Thurgood Marshall (Procunier v. Martinez, 416 U.S. 396 [1974])

OverviewResearch consistently demonstrates a strong connection between crimi-nal activity and substance abuse (Chaiken 1986; Inciardi 1979; Johnson

et al. 1985). Eighty-four percent of State prison inmates who expectedto be released in 1999 were involved with alcohol or illicit drugs at thetime of their offense; 45 percent reported that they were under theinfluence when they committed their crime; and 21 percent indicatedthat they committed their offense for money to buy drugs (Office of National Drug Control Policy [ONDCP] 2003). Data from the ArresteeDrug Abuse Monitoring program indicate that in 2000, 64 percent of male arrestees tested positive for at least one of five illicit drugs(cocaine, opioids, marijuana, methamphetamines, and PCP).Additionally, 57 percent reported binge drinking in the 30 days prior toarrest, and 36 percent reported heavy drinking (Taylor et al. 2001).

The consequences of crime related to substance abuse are substantial.The Bureau of Justice Statistics reports that in 1999 alone, 12,658homicides—4.5 percent of all homicides for that year—were drug relat-ed (Dorsey et al. 1999). The emotional costs to people with substanceuse disorders, their families, and the victims of their crimes are immea-surable. The ONDCP estimates that the total crime-related costs of drugabuse were more than $100 billion in 2000 (ONDCP 2001).

The devastating emotional and financial costs of drug-related crimeshave led to a number of strategies to break the link between drugs and

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crime, including stricter drug laws, “threestrikes and you’re out” legislation, increasedsurveillance, mandatory sentencing laws, andsevere penalties for drunk drivers, to name just a few. These approaches have had mixed

results, and opinions vary on their useful-ness.

One consistent research finding is thatinvolvement in substance abuse treatmentreduces recidivism (a tendency to return tocriminal habits) for offenders who use drugs(Anglin and Hser 1990; Harwood et al. 1988;Hubbard et al. 1984, 1989; Knight et al.1999a; Martin et al. 1999; McLellan et al.1983; Wexler et al. 1988, 1999a; Wisdom1999). For example, when researchers con-

ducted followup studies of clients treatedthrough comprehensive treatment demonstra-tion programs funded by the Center forSubstance Abuse Treatment (CSAT), theyfound substantial reductions in criminalactivity, including a 64-percent decrease inarrests (Wisdom 1999). In part because of thereduced criminal activity associated with sub-stance abuse treatment for offenders, treat-ment has also been found to be cost-effective.According to the California Drug and AlcoholTreatment Assessment study (Gerstein et al.

1994), for example, every dollar invested intreatment saved approximately $7 in futurecosts.

In response to research demonstrating thesuccess of treatment in reducing criminalactivity as well as the cost benefits of suchtreatment, policymakers over the past twodecades have implemented a wide variety of strategies at the Federal, State, and local lev-els. These initiatives are aimed at improvingthe availability and quality of treatment for

offenders. Drug Courts—courts with specialunified dockets for individuals charged withcrimes who are drug or alcohol involved—serve to divert offenders with substance usedisorders away from the criminal justice sys-tem into a supervised treatment plan or toincorporate a coerced treatment plan as partof a judicial sentence. Other programs havebeen established for people with special

needs, including individuals with co-occurringmental disorders. At the same time, other ini-tiatives have increased funding for peoplealready in prisons and jails. Examples of suchinitiatives include

• Project REFORM and later ProjectRECOVERY. These programs, funded inthe late 1980s by the Bureau of JusticeAssistance (BJA) and in the early 1990s byCSAT, provided technical assistance to 20States in planning and developing substanceabuse programming for prisoners with sub-stance abuse problems (Wexler 1995).

•Residential Substance Abuse Treatment forState Prisoners Formula Grant Program.This program funds States seeking to devel-

op comprehensive approaches to treatmentfor offenders who abuse substances, includ-ing intensive programs for inmates andrelapse prevention training. Further infor-mation is available at www.cfda.gov.

•The National Drug Control Strategy, pre-pared annually by the Office of NationalDrug Control Policy (1997, 1998, 1999,2000, 2001). This program has encouragedthe development of treatment and rehabili-tation services for offenders who use drugs

(e.g., Treatment Accountability for SaferCommunities, formerly TreatmentAlternatives to Street Crime; drug courtprograms; prison treatment programs). Forfurther information, go to www.whitehouse-drugpolicy.gov/.

•The BJA, Office of Justice Programs, U.S.Department of Justice. Formerly known asthe Drug Courts Program Office, estab-lished to administer the drug court grantprogram, the BJA provides financial andtechnical assistance, training, and program-

matic guidance for drug courts throughoutthe country. BJA offers grants that enablecommunities to develop, implement, orimprove drug courts. Information is avail-able at www.ojp.usdoj.gov/BJA/.

•The Serious and Violent Offender ReentryInitiative. In conjunction with severalFederal partners, the U.S. Department of Justice is spearheading this initiative to

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provide funding to promote successful rein-tegration of serious, high-risk offenders intothe community. The Initiative seeks toaddress all obstacles to successful reentry,including substance abuse. Information is

available online at www.ojp.usdoj.gov/reentry/learn.html.

In part because of initiatives such as these,the availability of substance abuse treatmentfor criminal offenders is on the rise. After 3years of decline in the mid-1990s, the numberof inmates in drug treatment programs beganrising again in 1997 and 1998 (CorrectionsYearbook 1998). A report based on a 1997nationwide survey of Federal and State cor-rectional facilities (Office of Applied Studies2000) indicates that 93.8 percent of Federalprisons and 56.3 percent of State prisons pro-vide some form of substance abuse treatment.

Although an increasing number of prisonsoffer some form of treatment, the actual num-ber of programs and slots remains limited(National Center on Addiction and SubstanceAbuse at Columbia University 1998; Petersand Matthews 2002). For example, althoughmore than half of prison inmates have a life-time prevalence of drug use disorders (Peterset al. 1998), fewer than 15 percent of inmatesreceive substance abuse treatment serviceswhile in prison (Mumola 1999; Simpson et al.1999b ). Moreover, while the number of sub-stance abuse programs for offenders is on therise, so too is the number of offenders in needof services. Substance abuse treatment ser-vices for offenders have not kept pace withthe growing need for these services (Belenkoand Peugh 1998; Simpson et al. 1999b ).

This TIP highlights some of the best practicesand innovative programs created to treatoffenders. It describes the unique needs of offenders with substance abuse and depen-dence disorders. Finally, it addresses thechallenges counselors and criminal justicepersonnel are likely to face at every stage of the criminal justice continuum.

The Purpose of This TIPThis TIP updates and combines three TIPsoriginally published in 1994 and 1995: TIP 7,Screening and Assessment for Alcohol and

Other Drug Abuse Among Adults in the Criminal Justice System (CSAT 1994d ); TIP12, Combining Substance Abuse Treatment With Intermediate Sanctions for Adults in the

Criminal Justice System (CSAT 1994a); andTIP 17, Planning for Alcohol and Other Drug Abuse Treatment for

Adults in the

Criminal Justice

System (CSAT1995b ).

The new TIP pre-sents clinical guide-lines to assist coun-selors in dealing withproblems that rou-tinely arise becauseof their clients’ sta-tus in the criminal justice system. Theseclients have multipleneeds; they oftenhave poor health,

have histories of trauma, lack job andcommunicationskills, and have edu-cational deficits. A special feature throughoutthe TIP—“Advice to the Counselor”—pro-vides the TIP’s most direct and accessibleguidance for the counselor. Readers withbasic backgrounds, such as addiction coun-selors or other practitioners, can study theseboxes first for the most immediate practicalguidance. In particular, the Advice to the

Counselor boxes provide a distillation of whatthe counselor needs to know and what stepsto take, which can be followed by a moredetailed reading of the relevant material inthe section or chapter.

The events of September 11, 2001, dramati-cally altered the political climate of ourNation and caused a shift in focus from the“tough on drugs” policies previously in place

3Introduction

One consistent

research finding is

that involvement

in substance abuse

treatment reduces

recidivism for

offenders who use

drugs.


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to the war on terrorism. These changes haveimpacted both the sanctions against people inthe criminal justice system and the availabili-ty of substance abuse treatment for thosepopulations. While it is beyond the scope of

this TIP to address the implications of theseshifts or to predict their ultimate outcomes,the core content of this document reflects thecurrent best practices for providing substanceabuse treatment for adults in the criminal justice system.

This TIP aims to provide tools and resourcesto increase the availability and improve thequality of substance abuse treatment to crimi-nal justice clients. It should assist the crimi-nal justice system in meeting the challenges of

working with offenders with substance usedisorders and encourage the implementationof evidence-based clinical approaches totreatment.

Other guiding principles of this publicationare to

•Provide the relevant information that willinform and enable treatment providers tofeel more confident in their approach tooffender and ex-offender populations.

•Help people in community treatment under-stand the criminal justice system and how itworks in step with their treatment services.

•Encourage collaboration between the crimi-nal justice and treatment communities.

•Help readers understand the multiple per-spectives that often lead to confusion andmisunderstandings—public safety versuspublic health, treatment versus corrections,differing client needs, issues of culture andsociety, and local characteristics of the

criminal justice system.•Provide practical solutions and approaches

to complex problems.

Key DefinitionsIn this TIP, the term “substance abuse” isused to denote both substance abuse and sub-

stance dependence as they are defined by theDiagnostic and Statistical Manual of Mental

Disorders, Fourth Edition, Text Revision(DSM-IV-TR) (American PsychiatricAssociation 2000). This term was chosen part-

ly because substance abuse treatment profes-sionals commonly use the term “substanceabuse” to describe any excessive use of addic-tive substances. Readers should attend to thecontext in which the term occurs to determinethe possible range of meanings it covers; inmost cases, however, the term will refer to allvarieties of substance use disorders describedby DSM-IV-TR.

According to DSM-IV-TR, substance abuse isa maladaptive pattern of substance use

marked by recurrent and significant negativeconsequences related to the repeated use of substances. Substance dependence is definedas a cluster of cognitive, behavioral, andphysiological symptoms indicating that theindividual is continuing use of the substancedespite significant substance-related prob-lems. A person experiencing substance depen-dence shows “a pattern of repeated self-administration that usually results in toler-ance, withdrawal, and compulsive drug-tak-ing behavior” (p. 192). A diagnosis of sub-

stance dependence can be applied to everyclass of substances except caffeine.

Treatment is defined according to theInstitute of Medicine (IOM 1990), as cited inCSAT’s National Treatment Plan Initiative(CSAT 2000a, b ):

Treatment refers to the broad range of [pri-

mary and supportive] services—including

identification, brief intervention, assessment,

diagnosis, counseling, medical services, psy-

chiatric services, psychological services,social services, and followup—provided for

people with alcohol [and/or drug] problems.

The overall goal of treatment is to reduce or

eliminate the use of alcohol [and/or drugs] as

a contributing factor to physical, psychologi-

cal, and social dysfunction and to arrest,

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retard, or reverse the progress of any associ-

ated problems (CSAT 2000a, p. 7).

The criminal justice system, as discussed inthis TIP, includes four subsystems: pretrialand diversion settings, jails and detention

centers, prisons (State and Federal), andcommunity supervision settings. Definitions of other terms relevant to criminal justice andsubstance abuse treatment are given inappendix B, Glossary.

For the purposes of this TIP, an offender is aperson who has been arrested, charged with acrime, or convicted of a crime and under thesupervision of the criminal justice system.

Audience for This TIPThis TIP is written primarily for substanceabuse counselors and clinicians who treatclients involved in the criminal justice systemor who are under full or partial supervisionand for administrators whose programs serveclients under criminal justice supervision. Italso will be useful for counselors who work incorrectional institutions and those in communi-ty agencies with clients on probation, parole, orpretrial release.

Others who work in the criminal justice sys-tem may also find this TIP helpful. Thisincludes judges and prosecutors; probationand parole officers, case managers, publicdefenders and other criminal defense attor-neys; jail, detention center, and prison per-sonnel; and people working in pretrial/diver-sion and in probation and parole settings.

Program developers and grant writers willfind that this TIP provides information abouta variety of programs and resources. Finally,

this TIP is of value to anyone concerned withreducing overcrowding in correctional facili-ties, addressing the crimes committed byuntreated drug-involved offenders, and meet-ing the challenges that these offenders face ontheir journey toward recovery.

Contents of This TIPThe chapters that follow will focus on the fol-lowing areas:

•Chapter 2 focuses on screening and assess-ment of criminal justice clients in the rele-vant domains. It includes a discussion of special concerns (e.g., gender and sexualorientation, literacy, a client’s primary lan-guage, and learning disabilities) and specificpopulations. See also appendix C, whichcontains moreinformation onscreening andassessment instru-ments.

•Although it is rec-ognized that treat-ment can be effec-tive, it is also clearthat differenttreatmentapproaches maywork better withsome clients thanwith others.Chapter 3 discuss-es triage and place-

ment in treatmentservices andreviews the com-plex area of treat-ment matching.

•Chapter 4 discussesthe available treat-ment options in thecriminal justicesystem. It also presents guidelines for devel-oping treatment plans.

•Chapter 5 addresses the major treatmentissues for offenders who use substances.These include a wide range of themes,including engagement and retention, stigmaand shame, the client–counselor relation-ship, and major treatment levels (e.g., resi-dential, nonresidential, outpatient, commu-nity supervised, and self-help and otherancillary services).

5Introduction

This TIP aims to

provide tools and

resources to

increase the

availability and

improve the

quality of

substance abuse

treatment to crim-

inal justice clients.


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•Chapter 6 describes treatment issues andapproaches for special populations forwhom modifications in treatment may beappropriate: people of ethnic and racialminorities, women, violent offenders, peo-

ple with disabilities, older inmates, peoplewith co-occurring substance use and mentaldisorders, and sex offenders, among others.

•Chapters 7 through 10 describe the specifictreatment needs and strategies for individu-als in particular criminal justice settings.

Chapter 7 addresses treatment provided indiversion and other pretrial settings.Chapter 8 provides a detailed discussion of treatment for offenders in jails and deten-tion centers, while chapter 9 focuses on

offenders in prison. Chapter 10 outlinestreatment for people under communitysupervision.

•Finally, chapter 11 discusses the issuesrelated to program development.

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7

2 Screening andAssessment

In ThisChapter…

Definitions of Terms

Screening Guidelines

Assessment Guidelines

Key Issues Related toScreening and Assessment

Areas To Address in

Screening and AssessmentSelection and

Implementation of Instruments

Screening and AssessmentConsiderations for

Specific Populations

Integrated Screening andAssessment—Sample

Approaches

Conclusions andRecommendations

OverviewScreening and in-depth assessment are important first steps in the sub-stance abuse treatment process; currently no comprehensive nationalguidelines for screening and assessment approaches exist in the criminal justice system. In the absence of such guidelines, information in this chap-ter can help clinicians and counselors develop effective screening andreferral protocols that will enable them to

•Screen out offenders who do not need substance abuse treatment.

•Assess the extent of offenders’ treatment needs in order to make appro-priate referrals.

•Ensure that offenders receive the treatment that they need, rather than

being released into the community with a high probability of re-offend-ing.

This chapter addresses the issues relevant to screening and assessment andmakes recommendations for the appropriate use of screening and assess-ment tools in specific settings. For information on how to use screeningand assessment to match the offender to services and to identify an appro-priate treatment plan, see chapters 3 and 4. For more information on spe-cific screening and assessment instruments see appendix C.

Definitions of Terms

Information gathered during screening and assessment plays an impor-tant role in identifying offender needs and making appropriate referralsfor services. Throughout this TIP, the following definitions are used forscreening, assessment, and related terms in the criminal justice setting:

•Screening— A process for evaluating someone for the possible pres-ence of a particular problem. The screening process does not neces-sarily identify what kind of problem the person might have or howserious it might be but determines whether or not further assessmentis warranted. Screening does not typically include assignment of DSM-


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IV-TR (Diagnostic and Statistical Manual of Mental Disorders , Fourth Edition, TextRevision [American Psychiatric Association{APA} 2000]) diagnoses of alcohol or drugabuse or dependence and may only identify

DSM-related problem areas. During thescreening process staff members use instru-ments that are limited in focus, simple informat, quick to administer, and usuallyable to be administered by nonprofessionalstaff. There are seldom any legal or profes-sional restraints on who can be trained toconduct a screening.

•Assessment —A process for defining thenature of a problem and developing specifictreatment recommendations for addressingthe problem. A basic assessment consists of gathering key information and engaging in aprocess with the client that enables thecounselor to understand the client’s readi-ness for change, problem areas, any diagno-sis(es), disabilities, and strengths. Theassessment process typically requirestrained professionals to administer andinterpret results, based on their experienceand training. A clinical diagnosis hasimportant legal ramifications since judgestend to rely on assessments to identify an

offender’s needs and risks, and to deter-mine the offender’s disposition.

In correctional settings, “screening” and“assessment” are equated with “eligibility”and “suitability,” respectively. “Eligibility” is

determined in pretrial and jail settings byscreening for offenders who may need sub-stance abuse treatment. “Suitability” forplacement in one of several different levels of treatment services is determined by an assess-

ment to help identify key psychosocial prob-lems related to referral to treatment and/orsupervision. Accordingly, the following con-siderations are suggested:

•Eligibility— Does the offender meet the sys-tem’s criteria for receiving treatment ser-vices? A quick screen, typically applicablein prisons and community corrections set-tings, can determine whether a person war-rants assessment to determine if that personhas a drug or alcohol problem.

•Suitability— Is the offender suitable for thetype of program services that are available?An assessment can determine whether theoffender is capable of benefiting from treat-ment or responding to a particular inter-vention. The question of suitability arisesonce it has been determined that offendersmeet the eligibility criteria for receiving ser-vices.

In essence, screening and assessment varybased on the goals of the evaluation and the

setting where they are used. For drug courtand jail settings, a source for operationaltreatment and criminal justice definitions isthe article “Guideline for Drug Courts on

8 Chapter 2

Common Myths About Screening and Assessment

Following are several common myths about substance abuse screening and assessment, and the facts thatdebunk those myths.

•Myth: Screening and assessment are no better than intuition in detecting a person’s need for treat-ment.

•Fact: Objective screening and assessment measures can result in treatment that is better targeted to aclient’s needs, resulting in better outcomes.

•Myth: Only a single screening is needed to place people in different levels of treatment services.

•Fact: Accurate evaluation requires a battery of assessment instruments that examine how substanceuse has affected all the domains of the client’s life. When treatment options are severely limited, how-ever, a basic screening may be sufficient to determine both eligibility and suitability for treatment.


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Screening and Assessment” (Peters and

Peyton 1998).

Screening GuidelinesThis section presents broad guidelines and con-siderations for developing an effective screen-ing protocol. (See section below for additionalguidelines related to assessment protocols.)

More specific guidelines based on the criminal

justice setting and the characteristics of thepopulation are discussed in later sections.

When creating a screening protocol, coun-selors will need to ask the following questions:

•What is the purpose of the screening?

•What screening tools will be used and underwhat circumstances?

9Screening and Assessment

•Myth: Untrained professionals can conduct screening and assessments.

•Fact: Although some screenings can be administered and scored without significant training, place-ment decisions are greatly improved when they are made by professionally trained staff. This includesstaff with relevant certification in substance abuse treatment, those with advanced professional

degrees, and those with specialized training in the use of particular screening and assessment instru-ments. For those screening and assessment approaches that require an interview with the offender,specialized training is also needed in basic counseling techniques such as rapport building and reflec-tive listening. Use of trained professional staff in the triage and placement process helps to minimizethe number of inappropriate referrals for treatment.

•Myth: Screening and assessment are always compromised because you cannot trust self-report infor-mation from offenders.

•Fact: Research generally validates the reliability, and to some degree, the validity of informationobtained through self-reports. Collateral sources such as the offender’s family and friends canimprove the reliability of the information gathered (or “the full picture”). Offenders do supply a cer-tain amount of misinformation in some settings to avoid unwanted consequences, however.

•Myth: All screening and assessment instruments are equally effective.•Fact: Research shows significant variability in the reliability and validity of different instruments with

different populations.

•Myth: Because an instrument is widely used, it must be effective.

•Fact: Many highly marketed and widely used instruments do not have a research base supporting thevalidity of their use. In fact, some of the widely marketed and used instruments have been shown to beless effective than those available in the public domain.

•Myth: Screening and assessment should not examine the history of physical and sexual abuse andrelated trauma because this may aggravate the offender’s level of stress and psychological instability,and staff may not be able to deal effectively with the consequences.

•Fact: Screening and assessment of all forms of abuse is essential for both male and female offenders,

because it is now recognized that the effects of trauma contribute to many mental disorders. Clinicaloutcomes are likely to be compromised if these abuse and trauma issues are not explored, and if strategies addressing these issues are not developed and integrated into treatment plans for mental andsubstance use disorders. However, it is important to emphasize that in screening for a history of trau-ma it can be damaging to ask the client to describe traumatic events in detail. To screen, it is impor-tant to limit questioning to very brief and general questions, such as “Have you ever experiencedchildhood physical abuse? Sexual abuse? A serious accident? Violence or the threat of it? Have therebeen experiences in your life that were so traumatic they left you unable to cope with day-to-day life?”


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Purpose of Screening

The first issue to consider is the purpose of the screening. In addition to screening fordrug use, counselors may consider screening

for other problem areas. For example, giventhat many infectious diseases are associatedwith the use of drugs (Varghese and Fields1999), health screening can be important inidentifying offenders in need of healthcareservices to ensure that clients receive neededmedication and to prevent the spread of dis-ease. Screening to identify special needs foroffenders with co-occurring mental problemscan improve the effectiveness of treatment. Itcan identify individuals who may pose athreat to themselves or others, prevent crises,

and promote immediate intervention.Screening content should identify key issuesthat need to be addressed in placing offendersin treatment. Content can be specific to sever-al domains, including substance use, crimi-nal, physical health, mental health, and spe-cial considerations. Figure 2-1 summarizesthe information relevant to each domain.

Screening guidelines will vary by setting. Aprofessional screening of an individual whohas just been arrested will include different

questions and require different informationthan a long-term prisoner being consideredfor parole. For a probationer, screeningmight be used to determine the appropriatelevel of supervision; a jail inmate may bescreened to assess his or her suitability fortreatment. Figure 2-2 (see p. 12) highlightsthe different screening considerations foreach setting.

Selection of Screening Tools

In addition to identifying the purpose of screening, the protocol should also identifythe screening tools to be used and the condi-tions under which they are used. Basic infor-mation can be acquired from any number of sources, including

•Booking records

•Self-report/interview information

•Results of instruments and surveys adminis-tered

•Past correctional records (presentenceinvestigations)

•Past treatment records•Police reports

•Correctional staff reports (for bail hearings,early release)

•Prior offense records (for driving under theinfluence [DUI], possession, trafficking)

•Emergency medical reports

•Drug test results (from examination of hair,sweat, urinalysis, Breathalyzer®)

Some jurisdictions may be required to use a

particular instrument or information source togather information consistently from all offend-ers, even though corroborative information,such as urine test results, is often available.Such universal screenings can help route non-violent, low-risk offenders to treatment place-ments in the community so that recovery canbegin. A more detailed discussion of selection of screening instruments is provided later in thischapter.

Assessment GuidelinesThe goal of assessment is to gather enoughinformation about clients to describe how thetreatment system can address their substanceabuse problems and the impact of those prob-lems. An assessment examines how the offend-er’s emotional and physical health, socialroles, and employment could be affected bysubstance abuse (Center for Substance AbuseTreatment [CSAT] 1994a). In addition,assessments can help identify the factors that

could prompt a return to drug use or criminalbehavior. These include lack of social supportnetworks, unstable employment history, poorhealth, criminality, unresolved legal prob-lems, inadequate housing, lack of motivationto change, a history of physical and sexualabuse, mental illness, learning disabilities,and other social and psychological factors.These factors need to be carefully examinedduring assessment to plan for potential gaps

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11Screening and Assessment

Figure 2-1Screening Guidelines by Domain

Domain Information

Substance Use •Substance use history•Motivation and desire for treatment•Severity and frequency of use•Detoxification needs, acute intoxication•Treatment history (e.g., number and type of episodes, outcomes)

CriminalInvolvement

•Criminal thinking•Current offense(s)•Prior charges•Prior convictions•Age at first offense•Type of offense(s)•Number of incarcerations

•Prior successful completion of probation or parole drug use offenses•Prior involvement in diversionary programs•History of diagnosis of any personality disorder

Health •Intoxication, infectious disease (tuberculosis, hepatitis, sexually transmitted diseases, HIVstatus)

•Pregnancy•General health•Acute conditions

Mental Health •Suicidality•History of treatment and prior diagnosis•Past diagnoses

•Treatment outcome•Current and past medications•Acute symptoms•Psychopathy

SpecialConsiderations

•Educational level•Reading level/literacy•Language/cultural barriers•Physical disability•Developmental disability•Learning disability•Health and biomedical record

•Housing•Dependents/family issues•History of abuse (victim and/or perpetrator), including trauma experienced as a result of

physical and sexual abuse


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in services that can affect relapse and crimi-nal recidivism.

While assessments are more comprehensivethan screenings, their depth and scope variesacross settings according to the following fac-tors:

•Amount of time available to conduct theassessment

•Physical setting of assessment (e.g., holdingpen, booking room, medical unit, receptioncenter, lockup, community/corrections office)

•Factors influencing the confidentiality or pri-vacy of the assessment process and the usesof assessment findings

•Availability of qualified staff, caseload vol-ume, and interagency cooperation

•Availability of financial resources (e.g.,staffing, type of assessment chosen)

•Availability of treatment options in thecommunity

•Number of sources of information

The instruments and sources of informationused during an assessment are determined bythe purpose of the assessment. Jurisdictionsmay elect the quickest and most efficientapproach to assess who goes into treatment.In other cases, the court may want the great-est amount

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