I'

County of Santa Clara

Public Safety and Justice Committee
Supervisor Bianca Alvarado; Qrairperson • Supervisor Liz Kniss, Vice Chair

County Government Center - East Wing • 70 West Hedding Street - 10th Floor
San Jos4 California 95110 » Phone(408)299-5020 • Fax (408)295-8642

Memorandum

DATE: April 22,2003

TO: Phyllis A. Perez
Clerk of the Board
FROM: Blanca Alvarado

Chairperson, Public ^afety and Justice Committee
SUBJECT: ADD ITEM TO APRIL 29, 2003 AGENDA
Please include the attached transmittal and the associated recommended actions

from Peter Kutras, Jr,, Acting County Executive, relating to the FY04 Substance
Abuse and Crime Prevention Act Plan under the Public Safety and Justice
Committee Report,

County of Santa Clara
Office of the County Executive
County Government Center, East Wing
70 West Hedding Street

San Jose, California 95110
(408) 299-5105

Prepared bv:
Reviewed and Submitted bv: yQt,

April 18,2003
TO;

Board of Supervisors

FROM:

Peter Kutras, Jr.

Acting County Executive
RE:

Fiscal

Year 2004 Substance Abuse and Crime Prevention Act Plan

Recommended Actions
it is

recommended that the Board of Supervisors.

a^^Tp^roverthe F^sca^l Year 2004 Substance Abuse and Crime Prevention

to complete and
b Authortzesthe^Acting County Executive or his designee
documents deemed
submit plan documentation and to execute any other
npppssarv in order to receive the funding;

.
.
the
California
Code
c. Resolve7to comply with the provisions of SACPA and
of Regulations, Division 4, Chapter 2.5; and
d. ResoLs to maintain a trust fund for all substance abuse treatment trust

fund (SATTF)allocations.

designee to
2 Approve addition of a treatment provider representative ortohis/her
be designated y

the Proposition 36 Steering Committee, with representative
the Steering Committee.(Roll Call Vote)
Fiscal Implications

recommendations for
The SACPA Plan for Fiscal Year 2004 includes spending
the
the substance abuse treatment trust funds(SATTF) m amount of $5,338,052.
ures to

Th1.“ents.redurtton
of $1,850,876 in SATTF program
line with the anticipated available revenues. The budgetary

bring spending into
actions and position changes necessary to effect the changes will be included in

Board ofSupervisors; Donald F. Gage,Blanca Alvarado,Pete McHugh,James

Acting County Executive: Peter Kutras,Jr.

1

T. Beall, Jr.,lizKniss

the Fiscal Year 2004 Recommended Budget, and will become effective July 1,
2003.

The reduction will result in the deietion of 3 FTEs in Probation (2 filied), and 2

filled FTEs in the Department of Alcohol and Drug Services(DADS). The pian

also recommends that the cost of 2.5 FTEs currently in other cost centers in
DADS and Mental Health be transferred to the SACPA program cost center in
DADS, with costs to be offset by SATTF funds.

In addition, the plan recommends expenditures offset by the Substance Abuse
Treatment and Testing Accountabiiity(SATTA)funds totaling $365,347. These
recommendations are based on preliminary aliocation information provided by
the State Department of Aicohol and Drug Programs (ADP).

No County Generai Fund expenditures are recommended.
Contract History

Twenty-nine treatment and service contracts, and two drug testing and analysis
contracts are supported by the SACPA program funds. The Board of Supervisors

approved use of program funds for treatment and service contracts and drug

I

testing when the program was implemented in July 2001, consistent with the
State intent to provide treatment and testing services to ciients convicted of
certain drug offenses. Treatment/service contracts are managed by the
Department of Aicohol and Drug Services, and receive regular contract

monitoring as described in the Plan narrative. Contract renewals are negotiated

on an annual basis. Drug testing and analysis contracts are managed by the
Probation Department, and are also subject to annual review and renewal.
I

Reasons for Recommendation

The annual SACPA plan includes client, treatment, and fiscal information about
the SACPA program. Based on data for the first six months of this year,

projections anticipate 3,026 clients in Fiscal Year 2004. This is similar to the
projected 3,000 clients for Fiscal Year 2003, and anticipates that treatment needs

will also be similar.

Spending plan recommendations were developed by the Proposition 36 Steering

Committee, reviewed by the Public Safety and Justice Committee, and approved
on April S"'* for submittal to the Board of Supervisors.

Preliminary Fiscal Year 2004 SACPA allocations have been released by the
State, and Santa Clara’s allocations are as follows:

SATTA (trust fund)

FY 03 Allocation

FY 04 Allocation

Difference

4,789,549

4,564,866

(224,683)

2

SATTF (drug
testing)
TOTAL

365,346

365,347

1

5,154,895

4,930,213

(224,682)

SATTF Spending Plan

SATTF funds support the assessment, primary treatment, supervision, and other
services available to clients as allowed by state regulations. It is projected that
$5,338,052 in SATTF funds will be available to support SACPA program
activities in Fiscal Year 2004. This includes the annual allocation as well as funds

remaining in the trust fund from prior year allocations and interest earned. At this
level of funding, a reduction of $1.8 million in SATTF program expenditures is
necessary to bring spending into line with the anticipated State revenues. The

impact of the reduction will be exacerbated by expected reductions in department
operating budgets, which have provided additional support from existing
resources to the program in the past two years. This is particularly true for
assessment activities and contract treatment and services.

The Proposition 36 Steering Committee approached spending reductions from
the standpoint of identifying core services to clients - assessment, treatment,
and supervision -and core program intent of minimizing impact on flow of clients
through the system, keeping them engaged in the process and out of Jail.

Overall priorities for maintenance of the SACPA program included:
Retention of treatment services: In light of treatment cut backs throughout the

DADS system, the Committee agreed that core treatment services - residential
and outpatient treatment and transitional housing units (THUs)could not be
eliminated from the SACPA budget. This position was strongly endorsed by the
Public Safety and Justice Committee.

Assessment Center staffing: Currently, SATTF funding supports 2 FTEs of
assessment staff plus the unit manager at the Assessment Center(AC). DADS
and the Court have spent significant time in the past year creating ways to

increase staffing available for the assessment process. It is critical to keep
clients moving in the court hearing system in order not to leave them in custody

while awaiting their assessment and subsequent sentencing hearing. Likewise,
the paper flow to the Court is critical to provide the judges with the information
they need for sentencing. Currently. 2.5 FTEs of assessment staff have been

"borrowed” from other units to bring AC staffing to a level that allows turnaround
of assessments within acceptable time frames. However, DADS’ Fiscal Year

2004 budget reduction recommended deletion of these positions. The Steering
Committee proposed transfer of the assessment positions to the SACPA cost
center in order to continue providing a timely assessment process. The Public
Safety and Justice Committee endorsed this recommendation as well.

3

Reduction planning was structured to take these priority issues into account, and
the following program changes are recommended:
County Executive:

# Elimination of $400,000 for data collection and evaluation. $5,000 was

retained for program activities and supplies. This reduction was made
because funding does not provide core service to clients. It effectively
removes the County’s capacity for in-depth iocal study of the impacts and
outcomes of the SACRA program. However, the State is providing a long
term study and evaluation of SACRA, in which Santa Clara County is
participating as a focus county. Information on local outcomes will be
available through the State study.
Probation:

• Deletion of one filled Deputy Probation Officer position ($102,998): the
Department has reorganized SACRA service delivery so that all 8
remaining probation officers perform both assessment and supervision
functions by Court Department. Probation officer presence in the
courtroom is expected to improve communication with the judges and
reduce the high volume of requests for additional reports and information.
The improvements in service to the Court are anticipated to mitigate the
loss of one position. Each officer will carry a smaller caseload (50),
allowing the officer to sustain more of a relationship with the clients,
helping them to stay in treatment as well as meeting other probation
conditions. In addition, the Court has agreed to eliminate the requirement

of a presentence investigation report, which will further streamline
services.

• Deletion of one vacant Probation Community Worker position ($65,832):
this will reduce and/or slow the Department’s ability to take photos for drug

testing at Pretrial Services, collect drug test samples, run CJIC information

for DADS, and enter data in the data management system.
• Deletion of one filled Justice System Clerk position ($61.848): this will
cause delays in the timely preparation and movement of files needed to

process clients through the system, including delays in offender

assignment to probation officers.

• Elimination of all funding for services and supplies ($74,000).
Department of Alcohol and Drug Services:

• Deletion of 2 filled Office Specialist positions ($120,814): This action will
reduce the amount of support available for data entry and administrative
functions.

• Addition of 2.5 FTEs Rehab Counselors ($210,864): The positions are

currently located at Gateway, Central TAP and Justice Services, and have
4

provided additional support for SACPA assessment services during the
past year. Due to fiscal constraints, the positions cannot be maintained
With General Fund support, and the costs will be transferred into the
SACPA unit. Additional assessment staff will allow continued provision of
assessment information to the Court within a reasonable timeframe.

• Elimination of the case management services contract with Cathoiic

Charities ($582,050): This action will remove a service that has been
effective in providing linkages for the most needy clients, particularly
between the Court, the clients, and the treatment providers. The

reorganization of Probation services will mitigate to some degree the loss
of the case manager presence in Court; however, probation officers will
not replicate the case manager focus on maintaining clients in the
treatment setting.

• Elimination of ancillary services funding ($183,333): A contract ancillary
services coordinator has been responsible for providing short term
services to clients based on a needs assessment. Critical needs for bus

passes, TB shots, phone cards, and hygiene bags were met, and other
services provided as necessary.

• Elimination of funding for psychoeducation services ($185,136):
Psychoeducation enhances client motivation for completing treatment, and
has been useful in providing a program where clients can be engaged
while waiting for treatment slots to open. It is possible that some clients
can be absorbed in psychoeducation classes provided with non-SACPA
funding to the extent that outpatient providers can absorb the need; this
will be evaluated during Fiscal Year 2004.
• Elimination of the orientation contract($57,497): Clients will be directed to
orientation through existing other programs. In addition, the orientation

provider is analyzing the feasibility of continuing services on a volunteer
basis.

• Elimination of aftercare funding ($51,910): Aftercare services will be

provided to those clients ready for maintenance, or relapse prevention, to
the extent that outpatient providers can absorb the need through extended
time in the outpatient system;

• Elimination of the vocational services contract ($53,000): SACPA clients
have shown a need for more intensive services than those available

through the SACPA contract. Graduates of the SACPA program are
already attending the County program and will be directed there in future.
* Reduction of funding for psychiatric services and medication ($75,000):
This funding has been underspent, as psychiatrist services have been
difficult to procure. Medication has been purchased throughout Fiscal Year
2003, and the funding, which remains will allow, continued availability of
medication.

• Reduction of funding for services and supplies ($21,276).

5

Funding of $2,788,491, which represents 52% of the SACPA funds, supports 404
outpatient treatment slots, 21 residential treatment beds, and 84 transitional
housing units. Spending levels by department are displayed in Attachment 1.
SATTA Spending Plan

Approximately 30,000 tests are anticipated in Fiscal Year 2004. Drug testing
funds will remain at $365,347 in the coming year, the same level as last year.

Funds support 2 community workers in the Office of Pretrial Services and one
community worker and contracts for drug testing and sample analysis in the
Probation Department.
Plan Narrative

The narrative portion of the Plan demonstrates that counties are addressing all

required elements, and re-submittal of this description of SACPA activities is

required each fiscal year. Updated client projections and treatment usage are
recommended as follows, based on projected client totals for Fiscal Year 2003:
Clients in Supervision
Clients in Treatment

Residential Treatment

Outpatient treatment
Psychoeducation
Psychiatric Services
THU
Orientation

Case Management
Ancillary Services

FY03

FY 04

3,000
2,961

3,026*
3,370

741

858

2,475

2,512

273

0

93

12

300

391

2,106

0

760

0

414

0

*Duplicated count

The SACPA plan requires narrative in the form of answers to several questions
and is submitted electronically as part of the plan package. Attachment 3
contains this year’s responses.

Steering Committee Membership

The Proposition 36 Steering Committee is currently comprised of representatives
from the following departments and agencies;
Office of the County Executive
Office of the County Counsel

Department of Correction
6

I

Department of Alcohol and Drug Services
Department of Public Health
Department of Mental Health
Department of Custody Health
Social Services Agency
Office of the District Attorney
Office of Pretrial Services

Office of the Public Defender
Probation Department

Superior Court
Police Chiefs Association

The Proposition 36 Steering Committee recommends that the treatment provider
community be represented on the committee as well. A representative from the
treatment providers' organization has regularly attended meetings since inception
of the group, and has contributed substantially to the discussion of issues.
Inclusion of this representative will formalize the ad hoc membership.
Background
Counties must submit a Substance Abuse and Crime Prevention Act Plan to the

State Department of Alcohol and Drug Programs by May 1, 2003 in order to
receive funding for the SACPA program for Fiscal Year 2004. SACPA funding
derives from two sources: annual state funding of $120 million created through

the Proposition 36 initiative, which is held in a trust fund and allocated to counties
according to a formula that considers arrest rates, treatment rates, and
population (SATTF funds): and federal grant funds authorized by SB 223 to fund
drug testing activities to support the program (SATTA funds), The Plan must
contain the following elements:
• Plan narrative;

• Fiscal Year 2004 spending recommendations for funding through the
Substance Abuse Treatment Trust Fund (SATTF);
• Fiscal Year 2004 spending recommendations for funding through the
Substance Abuse Treatment and Testing Accountability Act(SATTA)
in Fiscal Year 2003 the Board of Supervisors approved total SACPA

expenditures of $7,363,399:
• $6,998,053 in SATTF funding; and
• $365,346 in SATTA funding.

The FY 2003 SATTF allocation was about $4.8 million; rollover funding from prior

years was used to bridge the shortfall between the allocation and the budget. At
the time the spending plan was adopted, the possibility of a reduced spending
plan was discussed, and a decision made to maintain services at the current

7

level, acknowledging that the level of SATTF spending would not be sustainable
in subsequent years.

Consequences of Negative Action

The County will be unable to meet the legal obligation of submitting its annual
SACPA plan to the State Department of Alcohol and Drug Programs by May 1,
2003.

Steps Following Approval

Upon approval of the resolution adopting the Fiscal Year 2004 SACPA Plan, the
Acting County Executive will submit the appropriate documents to the State by
the May 1. 2003 deadline. Approved program changes will be included in the
Fiscal Year 2004 Recommended Budget.

8

(

(

(

Attachment 1

Substance Abuse and Crime Prevention Act(Prop 36)
Fiscal Year 2004 Recommended Budget
April 2003
Substance Abuse Treatmt Trust Fund (SATTF)Allocation
FYOa

Adj. Budget

Substance Abuse Test /Treatmt Accountability(SATTA)

FY04 Prop.

Inc/(Dec)

FY03

FY04 Prop.

Inc/(Dec)

Budget

from FY 03

Budget

Budget

from FY 03

DADS

PROBATION

11.5 positiorLS

869,189

959,239

Com.Worker

Ob.2:1 position/services/supplies

182,275

75,275

(107,000)

3,979,333

2,864,585

(1,114,748)

5,030,797

3,899,099

(1,131,698)

Ob2:treatment and other svcs.

90,050

Contracts

11 positions
Services/Supplies
Lease - Julian St

Supplies
1,219,571

989,393

(230,178)

74,000

0

(74,000)

444,560

444,560

1,738,131

1A33,953

(304,178)

200,000

0

(200,000)

200,000

0

(200,000)

0

COUNTY EXECUTIVE

Software/Programming

Data Entry

5,000

Services/Supplies
400,000
7,168,928

5,000
5338,052

5,000
(395,000)
(1,830,876)

65,500

200,000

187^47

102,000

107,500

7,154

(12,653)

PRETRIAL

2 Com. Workers
PROBATION DEPARTMENT

58,346

5,000

5,000

365,346

365,347

5,500

1

Attachment 2

SATTF Funds(Prop 36)

Fiscal Year 2004 Recommended Budget Worksheet
April 2003
Fiscal Year 2004 Recommended Budget Worksheet
FY 04
FTE

Proposed

%

DADS OBJECT 1
1.0

97,109

2%

2.0

153,427

3%

1.0

97,416

2%

1.0

111,118

2%

D09 Office Spec III/D2E Health Serv. Rep.

1.0

2%

P67 Rehab Couns

1.0

P67 Rehab Couns - NEW

2.0

119,952
88,740
163,440
78,876

1%

910,078

17%

1.0

75,275

1%

0.5

39,156

1%

2,788,491
75,000
11,099
2,989,021
3,899,099

52%

B5X Health Care Analyst II
B5Y Healthcare Analyst I
C07 Qual Improv Coord
C83 Health Care Pgm Mgr

1.0

Y42 Psych SW
Position Subtotal

10.0

2%
3%

DADS OBJECT 2
2 positions

IS Tech II ($75,275)
.5 Rehab Couns MH - NEW ($39,156)
Treatment/Service contracts

Psychiatric Services
Operating Expense

Object 2 Subtotal
DADS Subtotal

11.5

1%
0.2%
56%
73%

PROBATION DEPARTMENT

X44 Probation Manager

1.0

X50 Probation Officer

8.0

E19 Community Worker
F38 Just. Sys. Clerk

1.0
1.0

Position Subtotal

Services/Supplies
Lease - Julian St
Probation Subtotal

11.0

114,777
751,242
64,376
58,998
989,393

2%
14%
1%
1%

19%

0

0%

444,560

8%

1,433,953

27%

0

0%

0

0%

5,000

0.1%

COUNTY EXECUTIVE

Software/Programming

Data Entry
Services/Supplies

County Executive Subtotal
SATTF TOTAL

5,000

0.1%

5,338,052

100%

Page 1 of4

SACPA

SIB
»

Welcome to

Department of Alcohol and Drug Programs

SACPA Rep<

Santa Clara County
Home Pages
• CA Home Page

• SACPA Hona Page

Change Password

Original Plan Questions for Fiscal Year 2003/2004, Version 2
Status; Draft

Created: 03/05/2003

Last Revised: 04/16/2003

To update Plan Questions, answer each question and ciick the Save button.

County Information
Submissions

Reporting

Is the county board of supervisors' approval, or are the written board of si
1. written resolution, delegation of approval authority or order) and the coun

approval attached? [ref: §9515 (b)(3)]
(Check one)

ADP Assistance

Please save your

updates often!
The web system will
automatically log you
out after 10 minutes of

inactivity and you will
lose any unsaved
changes.

E Yes

[j No (expected date of approval) [
Check the county agencies and other entities involved in developing the c

apply)[ref: §9515(b)(2)]
(Check all that apply)
Required

PI County alcohol and other drug agency
F. Court

Fi Parole authority
E Probation Department
Optional

E County executive office
E County mental health
Ij County office of education
E County public health

E County social services
F District attorney

E Police department
□ Sheriff
□ Workforce Investment Board

E Other (specify) [Public Defender, Pretrial Servli^s, Department of C(
Check the impacted community parties that collaborated in the developmr
§9515(b)(2)]

(Check all that apply)
Required

littps://sacpa.adp.ca.gov/Contents/Asp/FiscalPlanQuestions.asp?FiscalPlanID=1364

4/16/03

Page 2 of4

SACPA

pi Providers of drug treatment services in the community
n Representatives of drug treatment associations in the community
Optional

n Civic groups
n Clients / Client groups

□ Colleges/Universities (specify)
□ Local business representatives

El Non-profit organizations
n Parent Teacher Group / Parent Teacher Association
n Workforce Investment Board

r~: Youth organizations

□ Other (specify)

j

4. How was community input collected? [ref; §9515(b)(2)]
(Check all that apply)

n Community meetings
Ei County advisory groups
El Focus groups

n Other method (s) (explain briefly)

If there are federally recognized American Indian tribe(s) located within yo

input to the development of this county plan? [ref: §9515(b)(2)]
(Check one)

□ Yes (required if such tribes are located in your county)
Ej No federally recognized American Indian tribe(s) in the county
6.

During this fiscal year, how often did entities and impacted community pa
county plan? [ref: §9515(b)(2)(A)]
(Check one)
n 1-2 times per year

Fl 3-4 times per year
n 5 or more times per year

Specify how often entities and impacted community parties will meet durii
plan to continue ongoing coordination of services and activities, [ref: §951
(Check one)

n Every three months
F 4-8 times per year
D 9 or more times per year

8.

What services are available to SACPA clients under this county plan? [ref:

Code §1210.1(c) and §3063.1 (c)]

https://sacpa.adp.ca, gov/Contents/Asp/FiscalPlanQuestions. asp ?FiscaIPIanID=l 3 64

4/16/03

Page 3 of4

SACPA

(Check all that apply)
B Drug treatment

n Family counseling
B Literacy training
PI Mental health

PI Vocational training
transitional housing, psychiatric services

Pi Other (specify)
9.

Identify the entity(les) responsible for determining a SACPA client’s level
drug treatment,[ref: §9515(b)(2)(C)]
(Check all that apply)
B County alcohol and other drug agency

n Probation Department

n Drug treatment provider(s)

□ Other (specify)
10.

i

Identify the entity(ies) responsible for determining a SACPA client’s level
additional services supplemental to treatment, [ref: §9515(b)(2)(C)].
(Check all that apply)

B County alcohol and other drug agency
B Drug treatment provider(s)

B Probation department

B Other (specify)

Court

11. What assessment tools will be used in your county for SACPA clients? [rs

(Check all that apply)

□ ASI (Addiction Severity index)
pj ASAM PPC (American Society of Addiction Medicine Patient Placement <

B Other (specify) [

1

12. Will drug testing be required for SACPA clients in your county? [ref: §9511
(Check one)
B Yes
□ No

13. What non-SATTA sources of funds, if any, will be used to pay for drug tesi

(Check all that apply)
E Client fees

□ Additional funds budgeted by the county

□ Other (specify)

https://sacpa.adp.ca.gov/Contents/Asp/FiscalP lanQuestions.asp?F iscalPlaiiID=1364
!

4/16/03

SACPA

Page 4 of4

14. Has there been a change in Lead Agency designation?
(Check one)

□ Yes
[i^No
Notes

Sf
m

Prior Page

.B.ack.to..ToB..of£ag.e
Conditions of .Use I Pri

I

Email Webmaster

© 2000 State of California. Gray Davis, Governor.

https ://sacpa.adp .ca. gov/Contents/Asp/FiscalPlanQuestions. asp?FiscalPlanID-1364

4/16/03

County Plan 2003-04
Narrative Description Template
County of Santa Clara
1. Collaborative Process. Describe the collaborative process used during the current

fiscal year to plan services. Describe how county entities, community parties, and
others participated in the development of this plan, [ref: §9515(b)(2)(A)]
Since the inception of the SACPA program, Santa Clara County has employed a
collaborative approach to plan development. As Lead Agency, the County Executive’s
Office convenes a Steering Committee, which was appointed by the Board of
Supervisors, to develop program and spending recommendations. Committee members
are department heads or their designees as follows:
Office of the County Executive
Office of the County Counsel

Department of Correction
Department of Alcohol and Drug Services
Department of Public Health
Department of Mental Health
Department of Custody Health
Social Services Agency
Office of the District Attorney
Office of Pretrial Services

Office of the Public Defender

Probation Department
Superior Court
Police Chiefs Association

Treatment Provider Representative

The Steering Committee has met several times since July 2002, and began discussion
of the Fiscal Year 2004 plan at its meeting on December 19, 2002. As a significant
reduction was anticipated, the Steering Committee appointed a budget subcommittee

comprised of representatives of provider organizations, the Department of Alcohol and
Drug Services (DADS), the Probation Department, the Superior Court, and the Office of

the County Executive.

The subcommittee was convened to discuss the budget situation and develop a

decision-making process. Ideas were brainstormed, and issues and concerns regarding
program maintenance were discussed. An approach was approved for making reduction
decisions from the standpoint of identifying core services to clients - assessment,

treatment, and supervision - and core program intent of minimizing impact on flow of
clients through the system, keeping them engaged in the process and out of jail. The
scope of reductions was discussed, and a decision made on reduction targets. By
consensus the group approved elimination of data/evaluation funding in the County
Page 1

Executive’s Office, and the Probation Department and DADS were charged with
developing reduction plans for their own departments.

Each department worked with partner agencies to develop reduction recommendations.
The Probation Department worked closely with the Court to streamline the activities of
the Recovery Services Unit and increase communication. DADS held meetings with
community providers to discuss reductions in contract services.
Recommendations were brought back to the subcommittee, and subsequently to the

Steering Committee as a whole, Steering Committee recommendations were reviewed

by the Board of Supervisors’ Public Safety and Justice Committee, and public comment

sought, prior to recommending approval to the Board of Supervisors,

2. Client Flow and Case Management. Describe the client flow and case

management activities (referral, assessment, placement, court monitoring,
supervision, etc,). The description should include the process for referral of parolees
as

well as referrals from court/probation. A flow chart may be included,

[ref: §9515(b)(2)(E)]

Services are provided through an integrated model of substance abuse treatment, case
management and judicial review involving the Court, county departments, and private
service providers

The District Attorney determines new clients’ eligibility for SACPA, based on the
defendant's current charges, prior criminal history and previous SACPA-eligible

experiences. For probation violation matters where the client is already on formal
probation, eligibility is determined by the Probation Department. Parolee eligibility is

determined through the State Parole Office.

Eligible clients who agree to participate in treatment are referred following conviction for
a joint assessment process by Probation and DADS. Assessments are primarily

conducted at the SACPA Assessment Center in San Jose for out of custody clients, with
assessments as needed at the jail for clients in custody.

Parolees are referred to the Assessment Center by their local Parole agent. Parole

release. These
provides an activity report, and has the clients sign a confidentiality
are
then
assessed
in the same
items are brought with them to the AC, and the parolees
are sent to the Parole
manner as

Court-referred clients. Assessment recommendations

field agent.

A clinical assessment is performed by staff from the Department of Alcohol and Drug

Sen/ices(DADS), resulting in a recommendation for treatment placement (Level of
Care) Placement recommendations are made based on the American Society of

Addiction Medicine(ASAM)Patient Placement Criteria (PPC)II. If appropriate, referrals
for other ancillary services are also recommended. Treatment recommendations are
forwarded to the Court in a Treatment Status Report(TSR). TSRs are expected to be
available to the Court within one week for in-custody clients, and within two weeks for

out-of-custody clients. In cases where a treatment slot is immediately available, the
client may start treatment on an interim basis, pending the confirmation of the treatment
plan by the Court at the sentencing hearing.
Page 2

A probation officer also assesses the client to determine the appropriate level of

supervision, using a Risk/Need evaluation tool that is based on a National Institute of
Corrections program. In addition, prior arrest history, substance abuse history and prior
probation performance are taken into consideration, as well as psychological,
vocational, educational, and social needs. Following the assessment, the client is

assigned to a probation officer based on the level of supervision required. Clients that
are determine to have high risk and needs are supervised by the Recovery Services

Unit(RSU)at the maximum level. Clients assessed to have moderate risk and needs

are placed on a general supervision caseload and supervised at the moderate level.
Clients assessed to have minimal risk and needs are placed on an administrative
caseload.

Probation officers monitor compliance with Court orders and treatment program

directives and provide the Court with reports and recommendations at court reviews,
which address client performance. The first review date is set at sentencing to monitor

entry into treatment and treatment progress, and subsequent court review dates are

ordered as needed. Clients undergo drug testing performed either by their probation
officer or at a testing site. Test results are provided to the probation officer, the
treatment provider, and the Court.
The Probation Department initiates and calendars probation violation matters.
Violations of probation are calendared in a designated Proposition 36 court. As

required by Penal Code Section 1210 et seq., clients with non-drug related violations
may have their probation modified or revoked, and traditional sentencing applied.
Clients with drug-related violations are considered for upgrades or modifications in
treatment and/or supervision, which might improve their progress. After a third violation,
clients may have their probation revoked, or be found not amenable for further
treatment and have traditional sentencing applied. It is noted that within the Santa Clara

County treatment continuum, it is possible for treatment to continue with a higher level
of supervision and monitoring, such as in Drug Treatment Court, even though the client
may no longer be funded through SACPA.

The Probation Department assists clients by facilitating the return of cases to Court for
termination, dismissal and record clearance pursuant to Section 1203.10(d)(1) of the

Penal Code upon successful compliance with Court orders and treatment.
3. Treatment Goals. Describe the county’s treatment goals for SACPA clients,
[ref: §9515(b)(2)(E)]
The County’s goals are:

To provide SACPA clients with access to appropriate and effective treatment based on
assessment of individual needs.

To reduce or eliminate client substance abuse.

To reduce client arrests and convictions for substance abuse-related charges, thereby
reducing criminal activity.

Page 3

To provide a multi-disciplinary team approach for supervising substance abusing
defendants while they are under court supervision and in treatment;

To use a non-adversarial approach in which prosecution and defense counsel promote

public safety while supporting participants' success in treatment.

4. Treatment and Aftercare Services. Describe the types of treatment and aftercare

services (e.g., Level 1, 2, 3, 4; outpatient, residential; narcotic replacement therapy:

etc.)to be provided. Describe the types of treatment providers and the services they
will provide,(Names and descriptions of individual providers are not required.)
[ref: §9515(b)(2)(B)]

Treatment/aftercare services are offered by county staff and community-based

providers whose contracts are monitored by the Department of Alcohol and Drug
Services. Clients receive individualized treatment plans based on their assessed needs
and level of motivation. Additional services, such as transitional housing, psychiatric

and/or other ancillary services may be included in the plan. Services are offered along
a continuum of care, addressing the level of need of each participant. All contract

treatment providers are licensed or certified by the State Department of Alcohol and

Drug Programs. Providers are responsible for developing individualized treatment plans
and providing Treatment Status Reports and recommendations to the Court if clients
need their treatment plans modified.

Outpatient treatment serves clients without a history of serious recent substance
abuse and/or criminality, who are willing to participate in treatment but need motivation
and monitoring. Clients attend group counseling and individual counseling, community

support (12-step and other) meetings and undergo random urine testing. The goal of

this treatment is to move the client along the motivational continuum. For clients in pre

contemplation, the goal is to encourage consideration of whether they have a problem
and how they can avoid future problems with alcohol and drugs. For clients who
recognize their problems, treatment is aimed at helping them obtain and maintain
recovery. Most outpatient episodes last from 3 to 4 months.

Intensive Outpatient treatment serves clients with a serious history of abuse/addiction

and/or criminal involvement. In addition to treatment, these clients will also receive case

management from the provider and will usually attend two groups a week plus individual
counseling, support meetings, and relapse prevention groups. Transitional Housing
Units and other ancillary services are provided as required. The treatment goal is to

move

clients from low motivation levels to preparing for and taking steps to address

their alcohol/drug abuse. Most treatment episodes last 4 to 6 months.

Outpatient/Intensive Outpatient Plus Transitional Housing serves clients with

serious alcohol/drug problems who are in unstable or unsafe living environments.
Clients are referred to Transitional Housing Units where they live in a clean and sober

environment for 2-3 months while they attend outpatient treatment and prepare to (re)
enter the work force, Outpatient referrals are mandatory for clients placed in THUs. The
treatment goal is to move clients through contemplation stage to action stages.

Page 4

Residential treatment is provided to addicted clients who are currently using or unable
to maintain abstinence and present a danger to themselves or others. Despite

experiencing serious consequences or effects of drug use, these clients have marked
difficulty with understanding the relationship between their substance use and impaired
level of functioning. If they are currently using, they begin treatment in detox (3-7
days). If they do not need detox, they begin treatment in a residential program. This
treatment level offers stabilization and motivation for 30-60 days with clients being

discharged to outpatient to continue treatment once stabilized.
Methadone and Perinatal: Heroin addicts have the best outcomes when provided with

narcotic replacement therapy (i.e. methadone maintenance). Most pregnant and many
parenting women do better in perinatal programs that also offer narcotic replacement
therapy, and which provide intensive medical support, health and nutrition support, child
development assessments and parenting classes in addition to group and individual
counseling.(Note: These services are provided to SACPA clients as needed, but are
funded through the County system of care)
After Care Services: Aftercare education services are based on a relapse prevention

model which provides information about how to stay clean and sober, how to develop a
support system based on a 12-Step or other support network, and how to deal with
relapse triggers. This service will be provided on a limited basis to clients who complete
outpatient treatment. Clients who relapse are re-assessed and, if necessary, referred to
the appropriate level of treatment.
5. Treatment Assessment Process. Describe the assessment process that will be
used to determine clients' level of need for drug treatment, [ref: §9515(b)(3)(B)]

Out-of-custody SACPA defendants are referred at conviction to a joint assessment
process at the SACPA Assessment Center in downtown San Jose. In-custody clients
who are expected to be released from custody upon sentencing are referred to the Jail
Assessment Coordinator (JAC),

A clinical assessment is performed by staff from the Department of Alcohol and Drug

Services(DADS), resulting in a recommendation for placement in a specified level of
treatment. Placement recommendations are based on the American Society of

Addiction Medicine(ASAM)Patient Placement Criteria (PPC)II. Additional service
needs, such as transitional housing, psychiatric and/or other ancillary services may be
addressed by the DADS assessment staff as well.

Out-of-custody clients leave their assessment session with a scheduled intake

appointment at a treatment program. In cases where a treatment slot is immediately

available, the client can start treatment on an interim basis, pending the confirmation of
the treatment plan by the Court at the sentencing hearing.
6. Additional Services. Describe the types of additional services supplemental to

treatment (e.g., vocational training, literacy training, family counseling, etc.) to be
provided under this plan, and list the providers of these services,
[ref; §9515(b)(2)(E)]

Page 5

Due to budget constraints and significant cutbacks in program services, additional

service funding will be reduced in Fiscal Year 2004. Two critical services are retained:
transitional housing and psychiatric services. Transitional housing is provided by:
ARM Men’s

Life Choices

CADS

Rainbow

Innvision

Psychiatric services and medication for dually diagnosed clients are provided by the
Department of Alcohol and Drug Services. DADS contracts for psychiatric services.
In addition, SACPA clients are referred to existing county programs for vocational

training, literacy services, mental health services, and family counseling.
7. Additional Services Assessment Process, Describe the assessment process that
will be used to determine clients’ level of need for additional services supplemental
to treatment? [ref; §9515(b)(3)(B)]

Client needs for additional services may be assessed by DADS and/or Probation staff

as they interview the client. This information is provided to the judge. The judge may

also decide based on knowledge of the client’s history that other services will be
beneficial. Finally, the treatment provider may refer the client to other support services

as a result of information from the intake interview.

8. Coordination of Services/Case Management Describe how the county will

coordinate the provision of services and conduct case management activities,
[ref: §9515(b)(2)(A)]
Please see Number 2 above. Coordination of services is achieved through information

sharing and constant communication between staff at the AC,the Courts, and service
providers. The shared space at the Assessment Center provides a setting in which

DADS’ assessment staff and SACPA probation officers interact on a daily basis, sharing
client information and coordinating on provision of reports to the Court. In addition, the

DADS Quality Improvement Coordinator assigned to SACPA provides technical
assistance for staff who refer SACPA clients into the managed care system, and for
SACPA contractors, including guidance and direction to all providers. The Ql

Coordinator assists with training for new SACPA contractors, monitors and SACPA sites

regarding client utilization of services, and follows up on issues related to client
movement within the DADS Continuum of Care.

Finally, there are a number of informal, interdepartmental meetings held to allow
communication about operational issues which might impede the delivery of program
services. These include a group convened by one of the SACPA judges and including

Probation, DADS, and County Executive staff, as well as treatment provider staff; a
group convened by the District Attorney’s Office to allow dialog between treatment

by the County Executive’s
providers and the DA’s staff; and a working group convened
items to discuss.

Office, which is open to any operations staff who have

9. Assurance of Meeting Clients’ Assessed Needs. Describe the process the

county will use to assure that clients receive drug treatment and other services as
determined by their individual assessments, [ref; 9515(b)(3)(E)]
Page 6

The Department of Alcohol and Drug Services maintains a database to track the
assessment and referral process, which occurs before clients enter the continuum of

care where they are tracked through OSCAR,the Department's MIS system.
Once the client enters the continuum, OSCAR provides a detailed accounting of client

demographics and services. SACRA clients are identified as parolees or probationers
to permit tracking of service utilization for these two groups. OSCAR provides a few
basic measures of treatment effectiveness for all clients. Clients are determined as

having successfully, or not successfully, completed treatment, in addition, the status of
clients drug use at discharge is compared to that at admission.
SACRA clients participate in an additional process measuring the effectiveness of
treatment using self-administered survey instruments, the BASIS 32, the GAIN, and the

CSQ-8 (a client satisfaction questionnaire). The GAIN allows the department to assess
the percent of clients who reduce and/or eliminate their drug and alcohol use. The
BASIS 32 demonstrates client improvement in functionality in a wide variety of areas.

Finally, the CSQ-8 measures satisfaction among clients. These tools are standardized
and normalized so responses from SACRA clients can be compared to responses from
the general population and other clients.

10.Quality of Treatment Services. Describe the criteria the county will use to monitor
and enforce the quality of treatment services. If treatment services are provided by
contract, what additional tools are available to the county through contract
enforcement to monitor and enforce the quality of services? [ref: §9515(b)(3)(C)]

The Department of Alcohol and Drug Services contracts with community-based
providers using a standardized County approved format. This contract specifies the
responsibilities and rights of the contractors and of the contracting agency. The
contracts require compliance with a number of provisions, some of which are monitored
by the Contracts Manager and some of which are monitored by the Quality
Improvement(Ql) unit.

The Contracts Manager oversees the reimbursement of providers and compliance with

the general provisions of the contract. Contractors submit monthly cost and service
information for claiming purposes. Ail direct service providers also enter client service
data into OSCAR,the Department's management information system. This information
allows the department to determine whether contractors are providing the level of
services expected by the contract. In cases of under-performance, the Contracts
Manager works with the provider to identify the source of the problem and potential
remedies. If problems persist, the Manager may recommend modification of the
contract and the reallocation of unspent funds.

The Contracts Manager also oversees the semi-annual contract monitoring process.

Monitoring involves fiscal, program, information systems, and research staff, and
address areas such as: policies and procedures manuals; board meetings and minutes;
client service records; documentation of staff training; personnel files; and the
organizational structure and staffing of the agency. A report card is sent out to each

provider identifying areas that need improvement. Providers are expected to submit a
plan on how they will reach the minimum standards and their follow through is
monitored by the Department Contracts Manager,
Page 7

The Ql Division reviews contractor compliance with performance measures on a
semi-annual basis. These measures are specific to each modality and are

developed in collaboration with the providers. The Ql audits, which are given to the
contractors in writing, require the contractors to explain areas of low performance
and how their plans for coming up to Department standards. Ql monitors this
process on an ongoing basis and brings problems of persistent underperformance to
the attention of management. Contractors may then be placed on probation and
eventually terminated.

11. Quality of Additional Services. Describe the criteria the county will use to monitor
and enforce the quality of additional services supplemental to treatment. If additional
services are provided by contract, what additional tools are available to the county
through contract enforcement to monitor and enforce the quality of those additional
services? [ref; §9515(b)(3)(C)]
Please see section 10 above; monitoring and enforcement practices are in place for
contracts for treatment and other services.

12. Drug Testing: A Treatment Tool, Describe the county’s policies and guidelines for
drug testing of SACPA clients to assure that drug testing is used as a treatment tool,
[ref: §9515(b)(3)(D)]

The Court, Probation, and treatment providers use drug testing as a means of

monitoring a client's success in abstaining from drug use. The collaborative treatment
and review process involves the Court, the Probation Department, DADS, the treatment
providers, and other service providers, as well as the District Attorney and the defense
bench, in working to help the client achieve success in treatment. All team members
see drug testing as a critical component of treatment, which must be available to all
clients as needed.

Test results are provided to the Court through provider treatment reports and Probation

supervision reports. Positive tests typically result in discussion as to whether

intensification of services is needed. For example, in cases where a client is not able to

stay clean and sober due to environmental factors, a revision to the treatment plan and
referral to a residential program or THU may be warranted. Test results are not an

exclusive basis for violation of or revocation of probation; rather, they are one factor
considered in an evaluation of how the client is progressing with his/her treatment plan.
Other factors considered include attendance at treatment, connection to community

support programs, and utilization of recommended ancillary services,.
13.Drug Testing and Individual Treatment Plan. Describe how drug testing using
Substance Abuse Treatment and Testing Accountability(SATTA)Program funds will

be part of each client’s individual treatment plan, [ref: §9515(b)(2)(D)&(E)]
The Court orders the client into drug testing as part of the treatment referral, Drug
testing is performed by many but not all of the treatment providers. The Probation
Department also conducts drug testing for Proposition 36 clients. Test results are sent
to both the Court and the individual treatment providers. Testing discussions occur both

informally and through scheduled progress reviews.
Page 8

14. Drug Testing Type and Frequency. Describe the types and frequency of drug
testing, [ref: §9515(b)(3)(A)]
Urine testing is used throughout the SACRA system. The frequency of testing is based
on the clinical needs of the client and depends on the severity of abuse, progress in
treatment and relapse potential. Providers who test their clients may do so at their
faciiity or send the client out fortesting.
Probation officers require clients to provide urine samples on a random basis; samples
are tested in a certified lab. Urine samples are collected in one of three ways: by

probation staff, either at Probation offices or in the field, through a contract for
collections services, or by staff in the Office of Pretrial Services testing station. All

samples are sent to a lab for analysis, and the test results are provided by the lab
directly to the Probation Department.

15.Recipients of Drug Testing Results. Name the entities or agencies that will
receive the results of SATTA drug testing.
Probation Department
Superior Court
Contract Treatment Providers

16. Use of Drug Testing Results. Describe how these entities or agencies will use
these drug testing results and the consequences or results of negative drug tests to
individual clients, [ref: §9515(b)(3)(D)]
Test results are provided to the Court through provider treatment reports and Probation
supervision reports. Positive tests typically result in discussion as to whether
intensification of services is needed. For example, in cases where a client is not able to

stay clean and sober due to environmental factors, a revision to the treatment plan and
referral to a residential program or THU may be warranted.
17. Evaluation of Client Progress. Describe what aspects of the client’s treatment

program, in addition to the results of drug testing, will be considered in evaluating a
client’s progress in treatment? [ref: §9515(b)(3)(D)]
Test results are not an exclusive basis for violation of or revocation of probation; rather,

they are one factor considered in an evaluation of how the client is progressing with
his/her treatment plan. Other factors considered include attendance at treatment,
connection to community support programs, and utilization of recommended ancillary
services. Other factors considered include attendance at treatment, connection to

community support programs, and utilization of recommended ancillary services.
18. Client Fee Assessment, Describe the county’s procedure for ensuring that its
SACPA treatment providers assess client fees, [ref: §9532(b)]

Page 9

Fee assessment is a requirement of provider contracts and is monitored through the
contract monitoring process. Fees are assessed on a sliding scale based on client
ability to pay,

Page 10

New Arrest/Citation
Pretrial
Referral to Gateway

nncludes Parolee with new arrest)

In-custoay to arraignment within 48 working hours

i

If

ReleasemOwn

Arraignment

►

Recognizance

BAIL

3rd conviction

I

If

defendant has participated
in two (2) separate courses of

Determination of Prop. 36

treatment and court finds
defendant is unamenable to

eligibility

Traditional

Sentencing
Applies

any course of treatment

I
Plead Guilty

Traditional

Declines

Sentencing

treatment

>

Plead Not Guilty

Applies

Trial
5

Conviction

^

Plead Guilty

No conviction

I
Conviction

Out of Custody

In-custody

End

are released or assessed

in custody

Guilty
Assessment/Reassessment

Supervision (does not include

>

oaroleesl Treatment Plan
^r

Referral to interim treatment

I
Sentencing Hearing
• Placed on formal probation
■ Approve conditions of probation

>

Refuse

Traditional

Treatment

Sentencing
Applies

■ Approve/modify treatment plan

■ Client receives referral to services

Fail to appear

\ .

bench warrant

back in custody

■ Client must be compliant with
terms of probation
T

orientation at
DOC

V

Review Hearing(s)

*

Provider reports
Case manager reports
Probation supervision
renortfi

1st & 2nd Violation of
<

Probation*

Successful

completion

Drug Related

Non-drug
related

T

TSA

^ Modify Treatment
5

TSA

3”^ Violation of

Complete Successfully

TSA (could include iail. prision, DTO

Probation

* For the violation of probation(s) the prosecution must prove the violation of probation'and possibly additional factors depending on if the
violation is the first or second violation